EN
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EUROPEAN COMMISSION
Brussels, 31.8.2010
COM(2010) 459 final
2010/0240 (NLE)
Proposal for a
COUNCIL REGULATION (EU) No …/2010
on restrictive measures against Iran and repealing Regulation (EC) No 423/2007
(presented jointly by the Commission and the High Representative of the EU
for Foreign Affairs and Security Policy)
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EXPLANATORY MEMORANDUM
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(1)
On 26 July 2010, the Council approved Decision 2010/413/CFSP confirming the
restrictive measures taken since 2007 and providing for additional restrictive measures
against Iran in order to comply with UN Security Council Resolution 1929 (2010) and
accompanying measures as requested by the European Council in its Declaration of 17
June 2010.
(2)
These restrictive measures comprise in particular additional restrictions on trade in
dual-use goods and technology and equipment which might be used for internal
repression, restrictions on trade in key equipment for, and on investment in, the Iranian
oil and gas industry, restrictions on Iranian investment in the uranium mining and
nuclear industry, restrictions on transfers of funds to and from Iran, restrictions
concerning the Iranian banking sector, restrictions on Iran’s access to the insurance
and bonds markets of the Union and restrictions on providing certain services to
Iranian ships and cargo aircraft.
(3)
The Council also provided for additional categories of persons to be made subject to
the freezing of funds and economic resources and certain other, technical amendments
to existing measures.
(4)
The restrictive measures concerning dual-use goods should be broadened to cover all
goods and technology of Annex I to Regulation (EC) No 428/2009, with the exception
of certain items in its Category 5. Category 5 goods and technology which are
currently subject to prohibition should, however, remain subject to prohibition. It is
also appropriate to impose a prohibition on some of the goods and technology which
were previously subject to an export authorisation requirement under Article 3 of
Regulation 423/2007.
(5)
A list of key goods and technology in the oil and gas sector should be provided in
order to ensure effective implementation of restrictive measures by economic
operators and customs administrations. A supplementary proposal for the list of key
equipment and technology for the oil and natural gas industry referred to in Article 8
of the proposed Regulation, will be made under separate cover.
(6)
Restrictions on investment in the oil and gas sector should cover certain key activities,
such as transmission services, in order to be effective, while for the same reason, the
restrictions should apply to joint ventures as well as other forms of associations and
cooperation in the oil and gas sector.
(7)
Effective restrictions on Iranian investment in the Union require that measures be
taken to prohibit that natural or legal persons, entities and bodies subject to the
jurisdiction of the Union enable or authorise such investment.
(8)
It is therefore necessary to amend and supplement Regulation (EC) No 423/2007 of 19
April 2007 concerning restrictive measures against Iran. For the sake of clarity, the
Commission and the High Representative of the EU for Foreign Affairs and Security
Policy propose to replace it by a new, consolidated Regulation.
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2010/0240 (NLE)
Proposal for a
COUNCIL REGULATION (EU) No …/2010
on restrictive measures against Iran and repealing Regulation (EC) No 423/2007
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular
Article 215 thereof,
Having regard to Council Decision 2010/413/CFSP of 26 July 2010 concerning restrictive
measures against Iran and repealing Common Position 2007/140/CFSP1,
Having regard to the joint proposal from the High Representative of the Union for Foreign
Affairs and Security Policy and the Commission,
Whereas:
EN
(1)
On 26 July 2010, the Council approved Decision 2010/413/CFSP confirming the
restrictive measures taken since 2007 and providing for additional restrictive measures
against the Islamic Republic of Iran (hereinafter referred to as Iran) in order to comply
with UN Security Council Resolution 1929 (2010) as well as accompanying measures
as requested by the European Council in its Declaration of 17 June 2010.
(2)
These restrictive measures comprise in particular additional restrictions on trade in
dual-use goods and technology as well as equipment which might be used for internal
repression, restrictions on trade in key equipment and technology for, and on
investment in, the Iranian oil and gas industry, restrictions on Iranian investment in the
uranium mining and nuclear industry, restrictions on transfers of funds to and from
Iran, restrictions concerning the Iranian banking sector, restrictions on Iran’s access to
the insurance and bonds markets of the Union and restrictions on providing certain
services to Iranian ships and cargo aircraft.
(3)
The Council also provided for additional categories of persons to be made subject to
the freezing of funds and economic resources and certain other, technical amendments
to existing measures.
(4)
The obligation to freeze economic resources of designated entities of the Islamic
Republic of Iran Shipping Lines (IRISL) does not require the impounding or detention
of vessels owned by such entities or the cargoes carried by them insofar as such
cargoes belong to third parties, nor does it require the detention of the crew contracted
by them,
1
OJ L 195, 27.7.2010, p. 39.
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(5)
These measures fall within the scope of the Treaty on the Functioning of the European
Union and, therefore, notably with a view to ensuring their uniform application by
economic operators in all Member States, legislation at the level of the Union is
necessary in order to implement them as far as the Union is concerned.
(6)
Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures
against Iran2 as amended enacts the restrictive measures taken by the Union further to
Common Position 2007/140/CFSP as amended3. For the sake of clarity, Regulation
(EC) No 423/2007 should be repealed in its entirety and replaced by this Regulation.
(7)
The revised restrictive measures concerning dual-use goods should cover all goods
and technology of Annex I to Regulation (EC) No 428/2009, with the exception of
certain items in its Category 5. Category 5 items which relate to nuclear and missile
technology and are currently subject to prohibition should, however, remain subject to
prohibition. Moreover, it is also appropriate to impose a prohibition on some of the
goods and technology which were previously subject to an export authorisation
requirement under Article 3 of Regulation 423/2007.
(8)
A list of key goods and technology in the oil and gas sector should be provided in
order to ensure effective implementation of restrictive measures by economic
operators and customs administrations.
(9)
Restrictions on investment in the oil and gas sector should cover certain key activities,
such as transmission services, in order to be effective, while for the same reason, the
restrictions should apply to joint ventures as well as other forms of associations and
cooperation in the oil and gas sector.
(10)
Effective restrictions on Iranian investment in the Union require that measures be
taken to prohibit that natural or legal persons, entities and bodies subject to the
jurisdiction of the Union enable or authorise such investment.
(11)
In order to ensure consistency with Directive 2005/60/EC of the European Parliament
and of the Council of 26 October 2005 on the prevention of the use of the financial
system for the purpose of money laundering and terrorist financing4, this Regulation
follows the same definitions of the terms "financial institution" and "credit institution"
as that Directive.
(12)
This Regulation respects the fundamental rights and observes the principles recognised
in particular by the Charter of Fundamental Rights of the European Union and notably
the right to an effective remedy and to a fair trial, the right to property and the right to
protection of personal data. This Regulation should be applied in accordance with
those rights and principles.
(13)
Decision 2010/413/CFSP makes provision for a review procedure to be followed when
a natural or legal person, entity or body is included in Annex I or Annex II to that
Decision. The listing procedures for the purpose of freezing funds and economic
resources under this Regulation should not duplicate these procedures.
2
OJ L 103, 20.4.2007, p. 1.
OJ L 61, 28.2.2007, p. 49.
OJ L 309, 25.11.2005, p. 15
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(14)
For the implementation of this Regulation, and in order to create maximum legal
certainty within the Union, the names and other relevant data concerning natural and
legal persons, entities and bodies whose funds and economic resources must be frozen
in accordance with the Regulation, should be made public. Any processing of personal
data of natural persons under this Regulation should respect Regulation (EC) No
45/2001 of the European Parliament and of the Council of 18 December 2000 on the
protection of individuals with regard to the processing of personal data by the
Community institutions and bodies and on the free movement of such data 5 and
Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995
on the protection of individuals with regard to the processing of personal data and on
the free movement of such data6.
(15)
In order to ensure that the measures provided for in this Regulation are effective, the
latter should enter into force on the day of its publication,
HAS ADOPTED THIS REGULATION:
Chapter I
Definitions
Article 1
For the purposes of this Regulation the following definitions shall apply:
(a)
'branch' of a financial or credit institution means a place of business which forms a
legally dependent part of a financial or credit institution and which carries out
directly all or some of the transactions inherent in the business of financial or credit
institutions;
(b)
‘brokering services’ means activities of persons, entities and partnerships acting as
intermediaries by buying, selling or arranging the transfer of goods and technology,
or negotiating or arranging transactions that involve the transfer of goods or
technology;
(c)
‘contract or transaction’ means any transaction of whatever form and whatever the
applicable law, whether comprising one or more contracts or similar obligations
made between the same or different parties; for this purpose ‘contract’ includes a
bond, guarantee or indemnity, particularly a financial guarantee or financial
indemnity, and credit, whether legally independent or not, as well as any related
provision arising under, or in connection with, the transaction;
(d)
‘credit institution’ means a credit institution as defined in Article 4(1) of Directive
2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating
5
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OJ L 8, 12.1.2001, p. 1.
OJ L 281, 23.11.1995, p. 31.
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to the taking up and pursuit of the business of credit institutions7, including its
branches inside or outside the Union;
(e)
‘customs territory of the Union’ means the territory defined in Article 3 of
Regulation (EC) No 450/2008 of the European Parliament and of the Council of
23 April 2008 laying down the Community Customs Code8.
(f)
‘economic resources’ means assets of every kind, whether tangible or intangible,
movable or immovable, which are not funds but which may be used to obtain funds,
goods or services;
(g)
‘exploration of crude oil and natural gas’ includes prospection of crude oil and of
natural gas, as well as geological services;
(h)
‘financial institution’ means
(i)
an undertaking, other than a credit institution, which carries out one or more of
the operations included in points 2 to 12 and points 14 and 15 of Annex I to
Directive 2006/48/EC, including the activities of currency exchange offices
(bureaux de change);
(ii)
an insurance company duly authorised in accordance with Directive
2002/83/EC of the European Parliament and of the Council of 5 November
2002 concerning life assurance9, insofar as it carries out activities covered by
that Directive;
(iii) an investment firm as defined in point 1 of Article 4(1) of Directive
2004/39/EC of the European Parliament and of the Council of 21 April 2004
on markets in financial instruments10;
(iv) a collective investment undertaking marketing its units or shares;
(v)
an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC
of the European Parliament and of the Council of 9 December 2002 on
insurance mediation11, with the exception of intermediaries as mentioned in
Article 2(7) of that Directive, when they act in respect of life insurance and
other investment related services;
and its branches inside or outside the Union.
(i)
‘freezing of economic resources’ means preventing the use of economic resources to
obtain funds, goods or services in any way, including, but not limited to, by selling,
hiring or mortgaging them;
(g)
‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to,
or dealing with funds in any way that would result in any change in their volume,
7
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9
10
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OJ L 177, 30.6.2006, p. 1
OJ L 145, 4.6.2008, p. 1.
OJ L 345, 19.12.2002, p. 1–51
OJ L 145, 30.4.2004, p. 1
OJ L 9, 15.1.2003
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amount, location, ownership, possession, character, destination or other change that
would enable the funds to be used, including portfolio management;
(k)
‘funds’ means financial assets and benefits of every kind, including but not limited
to:
(i)
cash, cheques, claims on money, drafts, money orders and other payment
instruments;
(ii)
deposits with financial institutions or other entities, balances on accounts, debts
and debt obligations;
(iii) publicly- and privately-traded securities and debt instruments, including stocks
and shares, certificates representing securities, bonds, notes, warrants,
debentures and derivatives contracts;
(iv) interest, dividends or other income on or value accruing from or generated by
assets;
(v)
credit, right of set-off, guarantees, performance bonds or other financial
commitments;
(vi) letters of credit, bills of lading, bills of sale; and
(vii) documents showing evidence of an interest in funds or financial resources;
(l)
‘goods’ includes items, materials and equipment;
(m)
‘insurance’ means a commitment whereby one or more persons is or are obliged, in
return for a payment, to provide one or more other persons, in the event of
materialisation of a risk, with an indemnity or a benefit as determined by the
commitment;
(n)
‘investment’ means:
(i)
an acquisition or extension of a participation in an enterprise, including the
acquisition in full of such an enterprise and the acquisition of shares and
securities of a participating nature;
(ii)
a financial loan or credit;
(iii) an agreement with another natural or legal person, entity or body who commits
to acquiring or extending a participation in an enterprise in his own name at the
expense of the other party to the agreement and to exercise his ownership
rights upon the instruction of the other party to the agreement;
(o)
‘Iranian aircraft’ means:
(i)
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an aircraft registered in Iran;
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(ii)
an aircraft not registered in Iran and owned, in whole or in part, by one or more
nationals of Iran or by one or more legal persons, entities or bodies which are
incorporated or constituted under the law of Iran;
(iii) any other aircraft which is leased or otherwise hired by one or more nationals
of Iran or by one or more legal persons, entities or bodies which are
incorporated or constituted under the law of Iran;
(p)
‘Iranian enterprise’ means:
(i)
any legal person, entity or body which is incorporated or otherwise constituted
under the law of Iran;
(ii)
any other legal person, entity or body, including any non-incorporated
enterprise or association, which has its principal place of business or central
administration in Iran;
(iii) any legal person, entity or body not incorporated or constituted under the law
of Iran which is owned, in whole or in part, by one or more nationals of Iran or
by one or more legal persons, entities or bodies which are incorporated or
constituted under the law of Iran;
(q)
‘Iranian vessel’ means:
(i)
a vessel flying the flag of Iran;
(ii)
a vessel flying another flag which is owned, in whole or in part, by one or more
nationals of Iran or by one or more legal persons, entities or bodies which are
incorporated or constituted under the law of Iran;
(iii) any other vessels chartered or otherwise hired by one or more nationals of Iran
or by one or more legal persons, entities or bodies which are incorporated or
constituted under the law of Iran;
(r)
‘person, entity or body in Iran’ means:
(i)
the State of Iran or any public authority thereof;
(ii)
any natural person in, or resident in, Iran;
(iii) any legal person, entity or body having its registered office in Iran;
(iv) any legal person, entity or body controlled directly or indirectly by one or more
of the above mentioned persons or bodies;
EN
(s)
‘production of crude oil and natural gas’ includes transmission of crude oil and of
natural gas;
(t)
‘refining’ means the processing, conditioning or preparation for the market of
hydrocarbons;
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(u)
‘reinsurance’ means the activity consisting in accepting risks ceded by an insurance
undertaking or by another reinsurance undertaking or, in the case of the association
of underwriters known as Lloyd's, the activity consisting in accepting risks, ceded by
any member of Lloyd's, by an insurance or reinsurance undertaking other than the
association of underwriters known as Lloyd's;
(v)
‘Sanctions Committee’ means the Committee of the United Nations Security Council
which was established pursuant to paragraph 18 of UNSCR 1737 (2006);
(w)
‘technical assistance’ means any technical support related to repairs, development,
manufacture, assembly, testing, maintenance, or any other technical service, and may
take forms such as instruction, advice, training, transmission of working knowledge
or skills or consulting services; including verbal forms of assistance;
(x)
‘technology’ includes software;
(y)
‘territory of the Union’ means the territories of the Member States to which the
Treaty is applicable, under the conditions laid down in the Treaty, including their
airspace.
(z)
‘transfer of funds’ means any transaction carried out on behalf of a payer through a
payment service provider by electronic means, with a view to making funds available
to a payee at a payment service provider, irrespective of whether the payer and the
payee are the same person. The terms payer, payee and payment service provider
have the same meaning as in Regulation (EC) No 1781/2006 of the European
Parliament and of the Council of 15 November 2006 on information on the payer
accompanying transfers of funds12;
Chapter II
Export and import restrictions
Article 2
1.
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It shall be prohibited:
(a)
to sell, supply, transfer or export, directly or indirectly, the goods and
technology listed in Annexes I and II, whether or not originating in the Union,
to any natural or legal person, entity or body in, or for use in, Iran or to an
Iranian enterprise;
(b)
to sell, supply, transfer or export, directly or indirectly, equipment which might
be used for internal repression as listed in Annex III, whether or not originating
in the Union, to any natural or legal person, entity or body in, or for use in,
Iran;
(c)
to participate, knowingly and intentionally, in activities the object or effect of
which is to circumvent the prohibition referred to in point (a) or (b).
OJ L 345, 8.12.2006, p. 1.
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2.
Annex I shall include goods and technology, including software, which are dual-use
items or technology as defined in Regulation (EC) No 428/2009 of 5 May 2009
setting up a Community regime for the control of exports, transfer, brokering and
transit of dual-use items13, except the goods and technology defined in Category 5 of
Annex I to that Regulation which are not included in the Nuclear Suppliers Group
and Missile Technology Control Regime lists.
3.
Annex II shall include other goods and technology which could contribute to Iran’s
enrichment-related, reprocessing or heavy-water-related activities, to the
development of nuclear weapon delivery systems, or to the pursuit of activities
related to other topics about which the IAEA has expressed concerns or identified as
outstanding, including those determined by the UN Security Council or by the
Sanctions Committee.
4.
Annexes I and II shall not include goods and technology included in the Common
Military List of the European Union14.
Article 3
1.
A prior authorisation shall be required for the sale, supply, transfer or export, directly
or indirectly, of the goods and technology listed in Annex IV, whether or not
originating in the Union, to any natural or legal person, entity or body in, or for use
in, Iran or to an Iranian enterprise.
2.
For all exports for which an authorisation is required under this Article, such
authorisation shall be granted by the competent authorities of the Member State
where the exporter is established and shall be in accordance with the detailed rules
laid down in Article 11 of Regulation (EC) No 428/2009 setting up a Community
regime for the control of exports, transfer, brokering and transit of dual-use items.
The authorisation shall be valid throughout the Union.
3.
Annex IV shall include any goods and technology other than those included in
Annexes I and II, which could contribute to enrichment-related, reprocessing or
heavy water-related activities, to the development of nuclear weapon delivery
systems, or to the pursuit of activities related to other topics about which the
International Atomic Energy Agency (IAEA) has expressed concerns or identified as
outstanding.
4.
Exporters shall supply the competent authorities with all relevant information
required for their application for an export authorisation.
5.
The competent authorities of the Member States, as identified in the websites listed
in Annex V, shall not grant any authorisation for any sale, supply, transfer or export
of the goods or technology included in Annex IV, if they determine that the sale,
supply, transfer or export thereof would contribute to one of the following activities:
(a)
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Iran's enrichment-related, reprocessing or heavy water-related activities;
OJ L 134, 29.5.2009, p. 1.
OJ L 88, 29.3.2007, p. 58.
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(b)
the development of nuclear weapon delivery systems by Iran;
(c)
the pursuit by Iran of activities related to other topics about which the IAEA
has expressed concerns or identified as outstanding; or
(d)
the exploration of crude oil and natural gas, production of crude oil and natural
gas, refining, or liquefaction of natural gas by an Iranian enterprise.
6.
Under the conditions set out in paragraph 5, the competent authorities of the Member
States, as identified in the websites listed in Annex V, may annul, suspend, modify or
revoke an export authorisation which they have already granted.
7.
Where they refuse to grant an authorisation, or annul, suspend, substantially limit or
revoke an authorisation in accordance with paragraph 5, the Member States shall
notify the other Member States and the Commission thereof and share the relevant
information with them, while complying with the provisions concerning the
confidentiality of such information of Council Regulation (EC) No 515/97 of 13
March 1997 on mutual assistance between the administrative authorities of the
Member States and cooperation between the latter and the Commission to ensure the
correct application of the law on customs and agricultural matters15.
8.
Before a Member State grants an authorisation which has been denied by another
Member State, in accordance with paragraph 5, for an essentially identical
transaction and for which the denial is still valid, it will first consult the Member
State or States which issued the denial as provided for in paragraphs 6 and 7. If,
following such consultations, the Member State concerned decides to grant an
authorisation, it shall inform the other Member States and the Commission thereof,
providing all relevant information to explain the decision.
Article 4
It shall be prohibited to purchase, import or transport the goods and technology listed in
Annexes I, II and III from Iran, whether the item concerned originates in Iran or not.
Article 5
1.
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It shall be prohibited:
(a)
to provide, directly or indirectly, technical assistance related to the goods and
technology listed in the Common Military List of the European Union, or
related to the provision, manufacture, maintenance and use of goods included
in that list, to any natural or legal person, entity or body in, or for use in, Iran;
(b)
to provide, directly or indirectly, technical assistance or brokering services
related to the goods and technology listed in Annexes I and II, or related to the
provision, manufacture, maintenance and use of goods listed in Annexes I and
II, to any natural or legal person, entity or body in, or for use in, Iran;
OJ L 82, 22.3.1997, p. 1.
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2.
3.
(c)
to provide, directly or indirectly, technical assistance or brokering services
related to equipment which might be used for internal repression as listed in
Annex III, to any natural or legal person, entity or body in, or for use in, Iran;
(d)
to provide, directly or indirectly, financing or financial assistance related to the
goods and technology listed in the Common Military List of the European
Union or in Annexes I, II and III, including in particular grants, loans and
export credit insurance, for any sale, supply, transfer or export of such items, or
for any provision of related technical assistance to any natural or legal person,
entity or body in, or for use in, Iran;
(e)
to participate, knowingly and intentionally, in activities, the object or effect of
which is to circumvent the prohibitions referred to in points (a) to (d).
The provision of the following shall be subject to an authorisation of the competent
authority of the Member State concerned:
(a)
technical assistance or brokering services related to goods and technology
listed in Annex IV and to the provision, manufacture, maintenance and use of
these items, directly or indirectly to any person, entity or body in, or for use in,
Iran;
(b)
financing or financial assistance related to goods and technologies referred to
in Annex IV, including in particular grants, loans and export credit insurance,
for any sale, supply, transfer or export of these items, or for any provision of
related technical assistance, directly or indirectly, to any person, entity or body
in, or for use in, Iran.
The competent authorities of the Member States, as identified in the websites listed
in Annex V, shall not grant any authorisation for the transactions referred to in
paragraph 2, if they determine that the action were to contribute to one of the
following activities:
(a)
Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)
the development of nuclear weapon delivery systems by Iran;
(c)
the pursuit by Iran of activities related to other topics about which the IAEA
has expressed concerns or identified as outstanding; or
(d)
the exploration of crude oil and natural gas, production of crude oil and natural
gas, refining, or liquefaction of natural gas by an Iranian enterprise.
Article 6
Article 2(1)(a) shall not apply to the goods falling within Part B of Annex I, when they are
sold, supplied, transferred or exported to, or for use in, Iran for a light water reactor in Iran
whose construction has begun before December 2006.
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Article 7
1.
2.
The competent authorities of the Member States, as identified in the websites listed
in Annex V, may grant, under such terms and conditions as they deem appropriate,
an authorisation for a transaction in relation to goods and technology referred to in
Article 2(1) or assistance or brokering services referred to in Article 5(1), if the
following conditions are met:
(a)
the contract for delivery of the goods or technology, or for the provision of
assistance, includes appropriate end-user guarantees;
(b)
Iran has undertaken not to use the goods or technology concerned, or if
applicable, the assistance concerned, in proliferation sensitive nuclear activities
or for development of nuclear weapon delivery systems;
(c)
if the transaction concerns goods or technology contained in the Nuclear
Suppliers Group and Missile Technology Control Regime lists, the Sanctions
Committee has determined in advance and on a case-by-case basis that the
transaction would clearly contribute neither to the development of technologies
in support of Iran's proliferation sensitive nuclear activities, nor to the
development of nuclear weapon development delivery systems; and
(d)
if the goods or technology concerned can be considered as key equipment or
technology for the oil and natural gas industry, the end-user is not an enterprise
engaged in exploration of crude oil and natural gas, production of crude oil and
natural gas, refining, or liquefaction of natural gas, as referred to in Article
8(1).
The Member State concerned shall inform the other Member States and the
Commission when it rejects a request for an authorisation.
Article 8
1.
2.
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It shall be prohibited to sell, supply, transfer or export goods or technology listed in
Annex VI, directly or indirectly, to any natural or legal person, entity or body in, or
for use in, Iran, or to an Iranian enterprise, if the person, entity, body or enterprise
concerned is engaged in one or more of the following activities:
(a)
exploration of crude oil and natural gas;
(b)
production of crude oil and natural gas;
(c)
refining;
(d)
liquefaction of natural gas.
Annex VI shall include key equipment and technology used in the industries
mentioned in paragraph 1. Annex VI shall not include items included in the Common
Military List of the European Union, Annex I or Annex II.
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3.
An enterprise engaged in the manufacture of certain goods or in a certain activity
shall be construed as including an enterprise proposing to engage in such
manufacture or such activity.
Article 9
It shall be prohibited:
(a)
to provide, directly or indirectly, technical assistance or brokering services related to
the goods and technology listed in Annex VI, or related to the provision,
manufacture, maintenance and use of goods listed in Annex VI, to any natural or
legal person, entity or body in, or for use in, Iran or to an Iranian enterprise, if the
person, entity, body or enterprise concerned is engaged in one or more of the
following activities:
(i)
exploration of crude oil and natural gas;
(ii)
production of crude oil and natural gas;
(iii) refining;
(iv) liquefaction of natural gas;
(b)
to provide, directly or indirectly, financing or financial assistance related to the
goods and technology listed in Annex VI, to any natural or legal person, entity or
body in, or for use in, Iran or to an Iranian enterprise, if the person, entity, body or
enterprise concerned is engaged in one or more of the activities referred to in point
(a);
(c)
to participate, knowingly and intentionally, in activities, the object or effect of which
is to circumvent the prohibitions referred to in points (a) and (b).
Article 10
1.
The prohibitions in Article 8(1) and 9 shall not apply to:
(a)
in the case of Article 8.1, transactions required by a trade contract concluded
before 26 July 2010 or by a contract or agreement concluded before 26 July
2010 and relating to an investment in Iran made before 26 July 2010;
(b)
in the case of Article 9, the provision of assistance required by a contract or
agreement concluded before 26 July 2010 and relating to an investment made
in Iran before 26 July 2010,
provided that the conditions set out in points (c) and (d) are met,
(c)
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the natural or legal person, entity or body seeking to engage in the transaction
or to provide assistance has notified the transaction or assistance to one of the
competent authorities of the Member States, as identified in the websites listed
in Annex V; and
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(d)
2.
the competent authority which received the notification has not informed the
applicant within 15 working days that it considers that the conditions set out in
points (a) or (b) are not met.
The sale, supply, transfer or export of goods or technology listed in Annex VI and
the provision of related brokering services, assistance or financing to Iran or to an
Iranian enterprise shall be notified to one of the competent authorities of the Member
States, as identified in the websites listed in Annex V, if the person, entity, body or
enterprise concerned is not engaged in one or more of the activities referred to in
Article 8(1).
The transaction or provision of services, assistance or financing shall be so notified
at least 15 working days before it takes place. It shall be prohibited if the competent
authority which received the notification, informs within 15 working days that it
considers that it is prohibited by Article 8(1) or 9.
Chapter III
Restrictions on investment
Article 11
1.
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It shall be prohibited:
(a)
to make an investment in an Iranian enterprise engaged in the manufacture of
goods or technology listed in the Common Military List of the European Union
or in Annex I or II;
(b)
to make an investment in an Iranian enterprise engaged in the manufacture of
equipment which might be used for internal repression as listed in Annex III;
(c)
to make an investment in an Iranian enterprise engaged in the exploration or
production of crude oil and natural gas, the refining of hydrocarbons or the
liquefaction of natural gas;
(d)
to form any joint venture, incorporations, non-incorporated associations, or
cooperation in whatever legal form with an Iranian enterprise engaged in the
exploration or production of crude oil and natural gas, the refining of
hydrocarbons or the liquefaction of natural gas;
(e)
to seek or to give effect to any concentration within the meaning of Article 3 of
Council Regulation (EC) No 139/2004 of 20 January 2004 on the control of
concentrations between undertakings16 with an Iranian enterprise referred to
under (c);
(f)
to participate, knowingly and intentionally, in activities, the object or effect of
which is to circumvent the prohibitions referred to in points (a) to (e).
OJ L 24, 29.1.2004, p. 1.
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2.
The co-operation referred to in paragraph 1(d) includes:
(a)
co-operation in any form, or sharing investments costs, in an integrated or
managed supply chain for the delivery of oil and gas, or their derivative
products, to international markets with an enterprise or undertaking, whether
incorporated or not, that is engaged in the oil and gas sector upon the territory
of Iran;
(b)
co-operation in any form for the purpose of refining, conditioning or
processing otherwise of raw materials or transmitting by pipeline of the
products of the oil and gas sectors upon the territory of Iran with an enterprise
or undertaking, whether incorporated or not, that is engaged in the oil and gas
sector upon the territory of Iran;
(c)
co-operation in any form for the purpose of facilitating the investment in or
optimising the utilisation of transmission capacity for oil or gas with an
enterprise or undertaking, whether incorporated or not, that is engaged in the
oil and gas sector upon the territory of Iran.
(d)
co-operation with any legal person, entity or body in any form for the purpose
of facilitating the investment in liquefied natural gas facilities within or directly
or indirectly connected to the territory of Iran.
3.
An enterprise engaged in the manufacture of certain goods or in a certain activity
shall be construed as including an enterprise proposing to engage in such
manufacture or such activity.
4.
Paragraph 1 shall be without prejudice to the execution of trade contracts for the
supply of goods or services on usual commercial payment conditions and the usual
supplementary agreements in connection with the execution of these contracts such
as export credit insurances.
Article 12
EN
1.
The making of an investment in an Iranian enterprise engaged in the manufacture of
goods or technology listed in Annex IV shall be subject to an authorisation of the
competent authority of the Member State concerned.
2.
The competent authorities of the Member States, as identified in the websites listed
in Annex V, shall not grant any authorisation for the transactions referred to in
paragraph 1, if they determine that the action would contribute to one of the
following activities:
(a)
Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)
the development of nuclear weapon delivery systems by Iran;
(c)
the pursuit by Iran of activities related to other topics about which the IAEA
has expressed concerns or identified as outstanding; or
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(d)
the exploration of crude oil and natural gas, production of crude oil and natural
gas, refining, or liquefaction of natural gas by an Iranian enterprise.
Article 13
By way of derogation from Article 11(1)(a), the competent authorities of the Member States,
as identified in the websites listed in Annex V, may grant, under such terms and conditions as
they deem appropriate, an authorisation to make an investment, if the following conditions are
met:
(a)
the Iranian enterprise has committed itself to apply appropriate end-user guarantees
as regards the goods or technology concerned;
(b)
Iran has undertaken not to use the goods or technology concerned in proliferation
sensitive nuclear activities or for development of nuclear weapon delivery systems;
(c)
if the investment is made in an Iranian enterprise engaged in the manufacture of
goods or technology contained in the Nuclear Suppliers Group and Missile
Technology Control Regime lists, the Sanctions Committee has determined in
advance and on a case-by-case basis that the transaction would clearly contribute
neither to the development of technologies in support of Iran's proliferation sensitive
nuclear activities, nor to the development of nuclear weapon development delivery
systems; and
(d)
if the goods or technology manufactured by the Iranian enterprise can be considered
as key equipment or technology for the oil and natural gas industry, the end-user is
not an Iranian enterprise engaged in exploration of crude oil and natural gas,
production of crude oil and natural gas, refining, or liquefaction of natural gas, as
referred to in Article 8(1).
Article 14
Article 11(1)(c) shall not apply to the acquisition or extension of a participation in an Iranian
enterprise or to the granting of a financial loan or credit, if the following conditions are met:
(a)
the transaction is required by an agreement or contract concluded before 26 July
2010; and
(b)
the competent authority has been informed of this agreement or contract and has not
contested within two months that the condition at (a) is met.
Article 15
It shall be prohibited:
(a)
EN
to accept or approve, by concluding an agreement or by any other means, that an
investment be made by one or more Iranian enterprises or by a person, entity or body
in Iran, in an enterprise engaged in any of the following activities:
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(i)
uranium mining,
(ii)
uranium enrichment and reprocessing of uranium;
(iii) the manufacture of goods or technology contained in the Nuclear Suppliers
Group and Missile Technology Control Regime lists.
(b)
to participate, knowingly and intentionally, in activities, the object or effect of which
is to circumvent the prohibition in point (a).
Chapter IV
Freezing of funds and economic resources
Article 16
EN
1.
All funds and economic resources belonging to, owned, held or controlled by the
persons, entities and bodies listed in Annex VII shall be frozen. Annex VII shall
include the persons, entities and bodies designated by the United Nations Security
Council or by the Sanctions Committee in accordance with paragraph 12 of United
Nations Security Council Resolution 1737 (2006), paragraph 7 of United Nations
Security Council Resolution 1803 (2008) or paragraph 11, 12 or 19 of United
Nations Security Council Resolution 1929 (2010).
2.
All funds and economic resources belonging to, owned, held or controlled by the
persons, entities and bodies listed in Annex VIII shall be frozen. Annex VIII shall
include natural and legal persons, entities and bodies, not covered by Annex VII,
who, in accordance with Article 20(1)(b) of Council Decision 2010/413/CFSP, have
been identified as:
(a)
being engaged in, directly associated with, or providing support for, Iran's
proliferation-sensitive nuclear activities or its development of nuclear weapon
delivery systems, including through involvement in procurement of prohibited
goods and technology, or being owned or controlled by such a person, entity or
body, including through illicit means, or acting on their behalf or at their
direction;
(b)
being a natural or legal person, entity or body that has assisted a listed person,
entity or body to evade or violate the provisions of this Regulation or the
measures taken by a Member State or a third country complying with Council
Decision 2010/413/CFSP or UN Security Council Resolutions 1737 (2006),
1747 (2007), 1803 (2008) and 1929 (2010);
(c)
being a senior member of the Islamic Revolutionary Guard Corps or a legal
person, entity or body owned or controlled by the Islamic Revolutionary Guard
Corps or by one of more of its senior members;
(d)
being a legal person, entity or body owned or controlled by the Islamic
Republic of Iran Shipping Lines.
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3.
No funds or economic resources shall be made available, directly or indirectly, to or
for the benefit of the natural or legal persons, entities or bodies listed in Annexes VII
and VIII.
4.
The participation, knowingly and intentionally, in activities the object or effect of
which is, directly or indirectly, to circumvent the measures referred to in paragraphs
1, 2 and 3 shall be prohibited.
5.
Annexes VII and VIII shall include the grounds for listing of persons, entities and
bodies listed respectively by the UN Security Council or the Sanctions Committee, or
the Council, and their dates of designation.
6.
Annexes VII and VIII shall also include, where available, information on listed
natural persons, for the purpose of identifying sufficiently the persons concerned.
Such information shall only include:
7.
(a)
surname and given names, including alias names and titles, if any;
(b)
date and place of birth;
(c)
nationality;
(d)
passport and identity card numbers;
(e)
fiscal and social security numbers;
(f)
gender;
(g)
address or other information on whereabouts;
(h)
function or profession.
Annexes VII and VIII may also include information as set out above on family
members of the persons listed, provided that this information is necessary in a
specific case for the sole purpose of verifying the identity of the listed natural person
concerned.
Article 17
By way of derogation from Article 16, the competent authorities of the Member States, as
indicated in the websites listed in Annex V, may authorise the release of certain frozen funds
or economic resources, if the following conditions are met:
(a)
EN
the funds or economic resources are the subject of a judicial, administrative or
arbitral lien established before the date on which the person, entity or body referred
to in Article 16 has been designated by the Sanctions Committee, the Security
Council or by the Council or of a judicial, administrative or arbitral judgment
rendered prior to that date;
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(b)
the funds or economic resources will be used exclusively to satisfy claims secured by
such a lien or recognised as valid in such a judgment, within the limits set by
applicable laws and regulations governing the rights of persons having such claims;
(c)
the lien or judgment is not for the benefit of a person, entity or body listed in Annex
VII or VIII;
(d)
recognising the lien or judgment is not contrary to public policy in the Member State
concerned; and
(e)
if Article 16(1) applies, the Sanctions Committee has been notified by the Member
State of the lien or judgment.
Article 18
By way of derogation from Article 16 and provided payment by a person, entity or body listed
in Annex VII or VIII is due under a contract, agreement or obligation that was concluded by,
or arose for the person, entity or body concerned, before the date on which that person, entity
or body has been designated by the Sanctions Committee, the Security Council or by the
Council, the competent authorities of the Member States, as indicated in the websites listed in
Annex V, may authorise, under such conditions as they deem appropriate, the release of
certain frozen funds or economic resources, if the following conditions are met:
(a)
the competent authority concerned has determined that:
(i)
the funds or economic resources shall be used for a payment by a person, entity
or body listed in Annex VII or VIII;
(ii)
the contract, agreement or obligation will not contribute to the manufacture,
sale, purchase, transfer, export, import, transport or use of goods and
technology listed in Annexes I, II, III and VI; and
(iii) the payment is not in breach of Article 16(3);
(b)
if Article 16(1) applies, the Member State concerned has notified the Sanctions
Committee of that determination and its intention to grant an authorisation, and the
Sanctions Committee has not objected to that course of action within ten working
days of notification; and
(c)
if Article 16(2) applies, the Member State concerned has notified that determination
of its competent authority and its intention to grant an authorisation to the other
Member States and to the Commission at least two weeks prior to the authorisation.
Article 19
1.
EN
By way of derogation from Article 16, the competent authorities of the Member
States, as identified in the websites listed in Annex V, may authorise, under such
conditions as they deem appropriate, the release of certain frozen funds or economic
resources, or the making available of certain funds or economic resources, if the
following conditions are met:
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(a)
the competent authority concerned has determined that the funds or economic
resources are:
(i)
necessary to satisfy the basic needs of persons listed in Annex VII or
VIII, and their dependent family members, including payments for
foodstuffs, rent or mortgage, medicines and medical treatment, taxes,
insurance premiums, and public utility charges;
(ii)
intended exclusively for payment of reasonable professional fees and
reimbursement of incurred expenses associated with the provision of
legal services; or
(iii) intended exclusively for payment of fees or service charges for routine
holding or maintenance of frozen funds or economic resources; and
(b)
2.
3.
if the authorisation concerns a person, entity or body listed in Annex VII, the
Member State concerned has notified the Sanctions Committee of that
determination and its intention to grant an authorisation, and the Sanctions
Committee has not objected to that course of action within five working days
of notification.
By way of derogation from Article 16, the competent authorities of the Member
States, as indicated in the websites listed in Annex V, may authorise the release of
certain frozen funds or economic resources or the making available of certain funds
or economic resources, after having determined that the funds or economic resources
are necessary for extraordinary expenses or for payment for goods referred to in
Article 6 when procured for a light water reactor in Iran whose construction has
begun before December 2006, provided that
(a)
if the authorisation concerns a person, entity or body listed in Annex VII, the
Sanctions Committee has been notified of this determination by the Member
State concerned and that the determination has been approved by that
Committee, and
(b)
if the authorisation concerns a person, entity or body listed in Annex VIII, the
competent authority has notified the grounds on which it considers that a
specific authorisation should be granted to the other competent authorities of
the Member States and to the Commission at least two weeks before the
authorisation.
The relevant Member State shall inform the other Member States and the
Commission of any authorisation granted under paragraphs 1 and 2.
Article 20
1.
EN
Article 16(3) shall not prevent financial or credit institutions from crediting frozen
accounts where they receive funds transferred to the account of a listed natural or
legal person, entity or body, provided that any additions to such accounts will also be
frozen. The financial or credit institution shall inform the competent authorities about
such transactions without delay.
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2.
Article 16(3) shall not apply to the addition to frozen accounts of:
(a)
interest or other earnings on those accounts; or
(b)
payments due under contracts, agreements or obligations that were concluded
or arose before the date on which the person, entity or body referred to in
Article 16 has been designated by the Sanctions Committee, the Security
Council or by the Council;
provided that any such interest, other earnings and payments are frozen in
accordance with Article 16(1) or 16(2).
3.
This Article shall not be construed as authorising transfers of funds referred to in
Article 21.
Chapter V
Restrictions on transfers of funds and on financial services
Article 21
1.
Except where the conditions of paragraph 2, 3, 4 or 6 are met, it shall be prohibited:
(a)
to give an order for a transfer of funds having a value of Euro 10 000 or more
to a person, entity or body in Iran;
(b)
to receive a transfer of funds having a value of Euro 10 000 or more from a
person, entity or body in Iran;
(c)
to execute transfers of funds having a value of Euro 10 000 or more initiated by
a person, entity or body in Iran, or to execute transfers of funds having a value
of Euro 10 000 or more to a person, entity or body in Iran.
These prohibitions shall apply regardless of whether the transfer of funds is executed
in a single operation or in several operations which appear to be linked.
2.
The prohibitions in paragraph 1 shall not apply to transfers of funds that are
payments due for the supply of foodstuffs or medical equipment or for the provision
of healthcare, or that are made for humanitarian purposes, provided the transfer of
funds has been notified in writing to one of the competent authorities of the Member
States, as identified in the websites listed in Annex V.
The transfer of funds shall be so notified by the natural or legal person, entity or
body giving the order for a transfer of funds or, if that person, entity or body giving
the order does not fall within the scope of Article 36, by the natural or legal person,
entity or body receiving and executing the order for the transfer of funds.
3.
EN
The prohibitions in paragraph 1 shall not apply to transfers having a value below
Euro 40 000 other than those referred in paragraph 2, if the natural or legal person,
entity or body giving the order or, where that person, entity or body does not fall
within the scope of Article 36, the person, entity or body executing the transfer of
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funds has notified in writing the transfer of funds to one of the competent authorities
of the Member States, as identified in the websites listed in Annex V.
4.
The competent authorities of the Member States, as identified in the websites listed
in Annex V, may grant, under such terms and conditions as they deem appropriate,
an authorisation for a transfer of funds having a value of Euro 40 000 or more, unless
they determine that the transfer of funds for which an authorisation is requested,
would contribute to one of the following activities:
(a)
Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)
the development of nuclear weapon delivery systems by Iran;
(c)
the pursuit by Iran of activities related to other topics about which the IAEA
has expressed concerns or identified as outstanding; or
(d)
the exploration of crude oil and natural gas, production of crude oil and natural
gas, refining, or liquefaction of natural gas by an Iranian enterprise.
An authorisation shall be deemed granted, if a competent authority has received a
request in writing for an authorisation and, within four weeks, the competent
authority has not objected in writing to the transfer of funds. If the objection is raised
because an investigation is pending, the competent authority shall state this and
communicate its decision as soon as possible. The authorisation shall be deemed
granted if no decision is communicated four weeks from the raising of the objection.
The Member State concerned shall inform the other Member States and the
Commission when it rejects a request for an authorisation.
5.
The Member States shall assist each other upon request where necessary for the
purpose of an investigation.
6.
Paragraph 1 shall not apply where an authorisation for a transfer has been granted in
accordance with Article 17, 18 or 19.
Article 22
EN
1.
Branches and subsidiaries of credit and financial institutions domiciled in Iran falling
within the scope of Article 36, as listed in Annex IX, shall notify the competent
authority of the Member State where they are established, as identified in the
websites listed in Annex V, of all transfers of funds carried out or received by them,
the names of the parties, the amount and the date of the transaction, within five
working days after carrying out or receiving the transfer of funds concerned. If the
information is available, the notification must specify the nature of the transaction
and, where appropriate, the nature of the goods covered by the transaction and must,
in particular, state whether the goods are covered by Annex I, II, III, IV or VI of this
Regulation and, if their export is subject to authorisation, indicate the number of the
licence granted.
2.
Subject to, and in accordance with, the information-sharing arrangements, the other
notified competent authorities shall without delay transmit these data, as necessary,
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in order to prevent any transaction that could contribute to proliferation-sensitive
nuclear activities or to the development of nuclear weapons delivery systems, to the
competent authorities of other Member States where the counterparts to such
transactions are established.
Article 23
1.
Credit and financial institutions which come within the scope of Article 36 shall, in
their activities with credit and financial institutions referred to in paragraph 2, and in
order to prevent such activities contributing to proliferation-sensitive nuclear
activities or to the development of nuclear weapon delivery systems:
(a)
exercise continuous vigilance over account activity, particularly through their
programmes on customer due diligence and under their obligations relating to
money laundering and financing of terrorism;
(b)
require that in payment instructions all information fields which relate to the
originator and beneficiary of the transaction in question be completed and if
that information is not supplied, refuse the transaction;
(c)
maintain all records of transactions for a period of five years and make them
available to national authorities on request;
(d)
if they suspect or have reasonable grounds to suspect that funds are related to
proliferation financing, promptly report their suspicions to the financial
intelligence unit (FIU) or to another competent authority designated by the
Member State concerned, as indicated on the websites listed in Annex V,
without prejudice to Articles 5 and 16. The FIU or such other competent
authority will serve as a national centre for receiving and analysing suspicious
transaction reports regarding potential proliferation financing. The FIU or such
other competent authority shall have access, directly or indirectly, on a timely
basis to the financial, administrative and law enforcement information that it
requires to properly undertake this function, including the analysis of
suspicious transaction reports.
The above requirements for credit and financial institutions shall be complementary
to existing obligations deriving from Regulation 1781/200617 and from the
implementation of Directive 2005/60/EC.
2.
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The measures set out in paragraph 1 shall apply to credit and financial institutions in
their activities with:
(a)
credit and financial institutions domiciled in Iran;
(b)
branches and subsidiaries, where they come within the scope of Article 36, of
credit and financial institutions domiciled in Iran, as listed in Annex IX;
OJ L 345, 8.12.2006, p.1-9
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(c)
branches and subsidiaries, where they do not come within the scope of Article
36, of credit and financial institutions domiciled in Iran, as listed in Annex IX;
(d)
credit and financial institutions that are neither domiciled in Iran nor come
within the scope of Article 36 but are controlled by persons and entities
domiciled in Iran, as listed in Annex IX.
Article 24
1.
2.
EN
It shall be prohibited for credit and financial institutions falling within the scope of
Article 36 to do any of the following:
(a)
to open a bank account with a credit or financial institution domiciled in Iran,
including the Central Bank of Iran, or with any branch or subsidiary of such a
credit or financial institution listed in Annex IX;
(b)
to establish a correspondent banking relationship with a credit or financial
institution domiciled in Iran, including the Central Bank of Iran, or with any
branch or subsidiary of such a credit or financial institution listed in Annex IX,
(c)
to open a representative office in Iran or to establish a branch or subsidiary in
Iran;
(d)
to acquire or extend a participation in a credit or financial institution domiciled
in Iran, including the Central Bank of Iran, or in any branch or subsidiary of
such a credit or financial institution listed in Annex IX, or to acquire any other
ownership interest in such a credit or financial institution;
(e)
to establish a joint venture with a credit or financial institution domiciled in
Iran, including the Central Bank of Iran, or with any branch or subsidiary of
such a credit or financial institution listed in Annex IX.
It shall be prohibited:
(a)
to authorise the opening of a representative office or the establishment of a
branch or subsidiary in the Union of a credit or financial institution domiciled
in Iran, including the Central Bank of Iran, or of any branch or subsidiary of
such a credit or financial institution listed in Annex IX;
(b)
to negotiate or conclude agreements for, or on behalf of, a credit or financial
institution domiciled in Iran, including the Central Bank of Iran, or for, or on
behalf of, any branch or subsidiary of such a credit or financial institution listed
in Annex IX, pertaining to the creation of a representative office, branch or
subsidiary in the Union;
(c)
to grant an authorisation for taking up and pursuing the business of credit
institution or for any other business requiring prior authorisation, by a
representative office, branch or subsidiary of a credit or financial institution
domiciled in Iran, including the Central Bank of Iran, or of any branch or
subsidiary of such a credit or financial institution listed in Annex IX, if the
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representative office, branch or subsidiary was not operational before 26 July
2010.
Article 25
It shall be prohibited:
(a)
to sell or purchase public or public-guaranteed bonds issued after 26 July 2010,
directly or indirectly, to or from any of the following:
(i)
Iran or its Government, and its public bodies, corporations and agencies;
(ii)
a credit or financial institution domiciled in Iran, including the Central Bank of
Iran, or any branch or subsidiary listed in Annex IX;
(iii) a natural person or a legal person, entity or body acting on behalf or at the
direction of a legal person, entity or body referred to under (i) or (ii);
(iv) a legal person, entity or body owned or controlled by a person, entity or body
referred to under (i), (ii) or (iii);
(b)
to provide to a person, entity or body referred to in point (a) brokering services with
respect to public or public-guaranteed bonds issued after 26 July 2010;
(c)
to assist a person, entity or body referred to in point (a) in order to issue public or
public-guaranteed bonds, by providing brokering services, advertising or any other
service with respect to such bonds.
Article 26
1.
It shall be prohibited:
(a)
to provide insurance or re-insurance to:
(i)
Iran or its Government, and its public bodies, corporations and agencies;
(ii)
an Iranian enterprise; or
(iii) a natural person or a legal person, entity or body acting on behalf or at
the direction of a legal person, entity or body referred to under (i) or (ii).
(b)
EN
to participate, knowingly and intentionally, in activities, the object or effect of
which is to circumvent the prohibition in point (a).
2.
Paragraph 1 shall not apply to the provision of health and travel insurance to
individuals.
3.
This Article prohibits the extension or renewal of insurance and re-insurance
agreements concluded before the entry into force of this Regulation, but does not
prohibit compliance with agreements made before that date.
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Chapter VI
Restrictions on transport
Article 27
1.
In order to prevent the transfer of goods and technology covered by the Common
Military List of the EU or whose supply, sale, transfer, export or import is prohibited
by this Regulation, all goods brought into or leaving the customs territory of the
Union from or to Iran shall be made subject to pre-arrival or pre-departure
information to be submitted to the competent customs authorities of the Member
State concerned.
2.
The rules governing the obligation to provide pre-arrival and pre-departure
information, in particular time limits to be respected and data required, shall be as
determined in the relevant provisions concerning entry and exit summary
declarations as well as customs declarations in Council Regulation (EEC) No
2913/92 of 12 October 1992 establishing the Community Customs Code18 and in
Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions
for the implementation of Regulation (EEC) No 2913/9219.
3.
Furthermore, the person who brings the goods into or out of the customs territory of
the Union from or to Iran, or who assumes responsibility for the carriage of the
goods to or from Iran, or his representative, shall declare whether the goods are
covered by the Common Military List of the EU or by this Regulation and, if their
export is subject to authorisation, specify the particulars of the export licence
granted.
4.
Until 31 December 2010 the entry and exit summary declarations and the required
additional elements referred to in paragraph 3 may be submitted in written form
using commercial, port or transport information, provided that they contain the
necessary particulars.
5.
As from 1 January 2011, the required additional elements referred to in this Article
shall be submitted:
18
19
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–
for goods brought into the customs territory of the Union, either in written form
or using an entry and exit summary declaration as appropriate, and
–
for goods brought out of the customs territory of the Union, either by a customs
declaration or, where a customs declaration is not required, an exit summary
declaration.
OJ L 302, 19.10.1992, p. 1.
OJ L 253, 11.10.1993, p. 1.
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Article 28
1.
The provision by nationals of Member States or from the territories of Member
States of bunkering or ship supply services, or any other servicing of vessels, to
Iranian vessels shall be prohibited where the providers of the service have
information, including from the competent customs authorities on the basis of the
pre-arrival and pre-departure information referred to in the previous Article, that
provides reasonable grounds to believe that the vessels carry goods covered by the
EU Common Military List or goods whose supply, sale, transfer or export is
prohibited under this Regulation, unless the provision of such services is necessary
for humanitarian purposes.
2.
The provision by nationals of Member States, or from the territories of Member
States, of engineering and maintenance services to Iranian cargo aircraft shall be
prohibited, where the providers of the service have information, including from the
competent customs authorities on the basis of the pre-arrival and pre-departure
information referred to in the previous Article, that provides reasonable grounds to
believe that the cargo aircraft carry goods covered by the EU Common Military List
or goods the supply, sale, transfer or export of which is prohibited under this
Regulation, unless the provision of such services is necessary for humanitarian and
safety purposes.
3.
The prohibitions in paragraphs 1 and 2 apply until the cargo has been inspected, and
seized or disposed of if necessary, as the case may be.
Chapter VII
Restrictions on granting of certain claims
Article 29
1.
2.
EN
No claims in connection with any contract or transaction the performance of which
would have been affected, directly or indirectly, wholly or in part, by the measures
imposed by Regulation (EC) No 423/2007 or this Regulation, including claims for
indemnity or any other claim of this type, such as a claim for compensation or a
claim under a guarantee, notably a claim for extension or payment of a bond,
guarantee or indemnity, particularly a financial guarantee or financial indemnity, of
whatever form, shall be satisfied, if they are made by:
(a)
designated persons, entities or bodies listed in Annexes VII, VIII and IX;
(b)
any other person, entity or body in Iran, including the Iranian government;
(c)
any person, entity or body acting through or on behalf of one of these persons,
entities or bodies.
The performance of a contract or transaction shall be regarded as having been
affected by the measures imposed by Regulation (EC) No 423/2007 or by this
Regulation where the existence or content of the claim results directly or indirectly
from those measures.
28
EN
3.
In any proceedings for the enforcement of a claim, the onus of proving that satisfying
the claim is not prohibited by paragraph 1 shall be on the person seeking the
enforcement of that claim.
4.
This Article is without prejudice to the right of the persons, entities and bodies
referred to in paragraph 1 to judicial review of the legality of the non-performance of
contractual obligations in light of Regulation (EC) No 423/2007 or this Regulation.
Chapter VIII
General and final provisions
Article 30
1.
Without prejudice to the applicable rules concerning reporting, confidentiality and
professional secrecy, natural and legal persons, entities and bodies shall:
(a)
supply immediately any information which would facilitate compliance with
this Regulation, such as accounts and amounts frozen in accordance with
Article 16, to the competent authorities of the Member States, as indicated in
the websites listed in Annex V, where they are resident or located, and shall
transmit such information, directly or through the Member States, to the
Commission;
(b)
cooperate with the competent authorities, as indicated in the websites listed in
Annex V, in any verification of this information.
2.
Any additional information directly received by the Commission shall be made
available to the Member State concerned.
3.
Any information provided or received in accordance with this Article shall be used
only for the purposes for which it was provided or received.
Article 31
EN
1.
The freezing of funds and economic resources or the refusal to make funds or
economic resources available, carried out in good faith on the basis that such action
is in accordance with this Regulation, shall not give rise to liability of any kind on
the part of the natural or legal person or entity or body implementing it, or its
directors or employees, unless it is proved that the funds and economic resources
were frozen or withheld as a result of negligence.
2.
The prohibitions set out in Articles 5(1)(d), 5(1)(e), 9(b), 15, 16(3), 25(1)(a) and 26
shall not give rise to liability of any kind on the part of the natural or legal persons or
entities concerned, if they did not know, and had no reasonable cause to suspect, that
their actions would infringe these prohibitions.
3.
The disclosure in good faith, as provided for in Articles 21, 22 and 23 by an
institution or by a person covered by this Regulation or an employee or director of
29
EN
such an institution, of the information referred to in Articles 21, 22 and 23 shall not
involve the institution or person or its directors or employees in liability of any kind.
Article 32
The Commission and Member States shall immediately inform each other of the measures
taken under this Regulation and shall supply each other with any other relevant information at
their disposal in connection with this Regulation, in particular information in respect of
violations and enforcement problems and judgments handed down by national courts.
Article 33
1.
(a)
amend Annex II on the basis of determinations made by either the United
Nations Security Council or the Sanctions Committee or on the basis of
information supplied by Member States;
(b)
amend Annex IV on the basis of information supplied by Member States;
(c)
amend Annex V on the basis of information supplied by Member States;
(d)
amend Annex VII on the basis of determinations made by either the United
Nations Security Council or the Sanctions Committee.
2.
The Council, acting by qualified majority, shall establish, review and amend the list
of persons, entities and bodies referred to in Article 16(2) and in full accordance with
the determinations made by the Council in respect of Annex II to Council Decision
2010/413/CFSP. The list in Annex VIII shall be reviewed in regular intervals and at
least every 12 months.
3.
The Commission and the Council shall state individual and specific reasons for the
decisions taken pursuant to paragraph 1(d) and paragraph 2, respectively, providing
the natural or legal person, entity or body concerned with an opportunity to express
his, her or its view on the matter. Where observations are submitted, the Commission
or the Council shall review its decision and inform the person, entity or body
accordingly.
4.
The Commission shall process personal data in order to carry out its tasks under this
Regulation. These tasks include:
20
EN
The Commission shall:
(a)
preparing amendments of Annex VII to this Regulation;
(b)
consolidating the contents of Annex VII and VIII in the electronic,
consolidated list of persons, groups and entities subject to EU financial
sanctions available on the Commission website20;
(c)
processing of information concerning the grounds for listing; and
http://ec.europa.eu/external_relations/cfsp/sanctions/consol-list_en.htm
30
EN
(d)
5.
processing of information on the impact of the measures of this Regulation
such as the value of frozen funds and information on authorisations granted by
the competent authorities.
The Council shall process personal data in order to carry out its tasks under this
Regulation. These tasks include:
(a)
preparing amendments of Annex VIII to this Regulation; and
(b)
processing of information concerning the grounds for listing.
6.
The Council and the Commission may process relevant data relating to criminal
offences committed by listed natural persons, and to criminal convictions or security
measures concerning such persons, only to the extent that such processing is
necessary for the preparation of grounds for listing and review of the views on it
expressed by the natural person concerned, subject to appropriate specific
safeguards. Such data shall not be made public or exchanged.
7.
For the purposes of this Regulation, the Council and Commission units listed in
Annex V are designated as “controller” for the Institution concerned within the
meaning of Article 2(d) of Regulation (EC) No 45/2001, in order to ensure that the
natural persons concerned can exercise their rights under Regulation (EC) No
45/2001.
Article 34
1.
Member States shall lay down the rules on penalties applicable to infringements of
this Regulation and shall take all measures necessary to ensure that they are
implemented. The penalties provided for shall be effective, proportionate and
dissuasive.
2.
Member States shall notify the Commission of those rules without delay after the
entry into force of this Regulation and shall notify it of any subsequent amendment.
Article 35
EN
1.
Member States shall designate the competent authorities referred to in this
Regulation and identify them in the websites listed in Annex V. Member States shall
notify the Commission of any changes to the addresses of their websites listed in
Annex V before such changes take effect.
2.
Member States shall notify the Commission of their competent authorities, including
the contact details of those competent authorities, without delay after the entry into
force of this Regulation, and shall notify it of any subsequent amendment.
3.
Where this Regulation sets out a requirement to notify, inform or otherwise
communicate with the Commission, the address and other contact details to be used
for such communication shall be those indicated in Annex V.
31
EN
Article 36
This Regulation shall apply:
(a)
within the territory of the Union, including its airspace;
(b)
on board any aircraft or any vessel under the jurisdiction of a Member State;
(c)
to any person inside or outside the territory of the Union who is a national of a
Member State;
(d)
to any legal person, entity or body which is incorporated or constituted under the law
of a Member State;
(e)
to any legal person, entity or body in respect of any business done in whole or in part
within the Union.
Article 37
Regulation (EC) No 423/2007 is repealed. References to the repealed regulation shall be
construed as references to this regulation.
Article 38
This Regulation shall enter into force on the day of its publication in the Official Journal of
the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, […]
For the Council
The President
[…]
EN
32
EN
ANNEX I
PART A
Goods and technology referred to in Articles 2(1)(a), 2(2), 4, 5(1)(b) and 5(1)(d)
This Annex comprises all goods and technology listed in Annex I to Regulation (EC) No
428/2009, as defined therein, except the following:
Item from
Annex I to
Regulation
(EC) No
428/2009
5A001
Description
Telecommunications systems, equipment, components and accessories as
follows:
a.
Any type of telecommunications equipment having any of the
following characteristics, functions or features:
1.
Specially designed to withstand transitory electronic effects or
electromagnetic pulse effects, both arising from a nuclear
explosion;
2.
Specially hardened to withstand gamma, neutron or ion radiation;
or
3.
Specially designed to operate outside the temperature range from
218 K (-55°C) to 397 K (124°C);
Note: 5A001.a.3. applies only to electronic equipment.
Note: 5A001.a.2. and 5A001.a.3. do not control equipment designed or
modified for use on board satellites.
b.
Telecommunication systems and equipment, and specially designed
components and accessories therefor, having any of the following
characteristics, functions or features:
1.
EN
Being underwater untethered communications systems having
any of the following:
a.
An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.
Using an electromagnetic carrier frequency below 30 kHz;
c.
Using electronic beam steering techniques; or
d.
Using "lasers" or light-emitting diodes (LEDs) with an
output wavelength greater than 400 nm and less than 700
33
EN
nm, in a "local area network";
2.
3.
Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
a.
Automatically predicting and selecting frequencies and
"total digital transfer rates" per channel to optimise the
transmission; and
b.
Incorporating a linear power amplifier configuration
having a capability to support multiple signals
simultaneously at an output power of 1 kW or more in the
frequency range of 1.5 MHz or more but less than 30 MHz,
or 250 W or more in the frequency range of 30 MHz or
more but not exceeding 87.5 MHz, over an "instantaneous
bandwidth" of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
Being radio equipment employing "spread spectrum" techniques,
including "frequency hopping" techniques, other than those
specified in 5A001.b.4. and having any of the following:
a.
User programmable spreading codes; or
b.
A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in
excess of 50 kHz;
Note: 5A001.b.3.b. does not control radio equipment
specially designed for use with civil cellular radiocommunications systems .
Note: 5A001.b.3 does not control equipment designed to
operate at an output power of 1 W or less.
4.
5.
EN
Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelising codes,
scrambling codes or network identification codes and having any
of the following:
a.
A bandwidth exceeding 500 MHz; or
b.
A "fractional bandwidth" of 20% or more;
Being digitally controlled radio receivers having all of the
following:
a.
More than 1,000 channels;
b.
A "frequency switching time" of less than 1 ms;
c.
Automatic searching or scanning of a part of the
34
EN
electromagnetic spectrum; and
d.
Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5. does not control radio equipment
specially designed for use with civil cellular radiocommunications systems.
6.
Employing functions of digital "signal processing" to provide
'voice coding' output at rates of less than 2,400 bit/s:
Technical Notes:
c.
1.
For variable rate 'voice coding', 5A001.b.6. applies
to the 'voice coding' output of continuous speech.
2.
For the purposes of 5A001.b.6., 'voice coding' is
defined as the technique to take samples of human
voice and then convert these samples into a digital
signal, taking into account specific characteristics of
human speech.
Optical fibre communication cables, optical fibres and accessories, as
follows:
1.
Optical fibres of more than 500 m in length, and specified by the
manufacturer as being capable of withstanding a 'proof test'
tensile stress of 2 x 109 N/m2 or more;
Technical Note:
'Proof Test': on-line or off-line production screen testing that
dynamically applies a prescribed tensile stress over a 0.5 to 3 m length
of fibre at a running rate of 2 to 5 m/s while passing between capstans
approximately 150 mm in diameter. The ambient temperature is a
nominal 293 K (20oC) and relative humidity 40%. Equivalent national
standards may be used for executing the proof test.
2.
Optical fibre cables and accessories, designed for underwater
use;
Note: 5A001.c.2.
does
not
control
standard
telecommunication cables and accessories.
civil
N.B. 1: For underwater umbilical cables, and connectors
therefor, see 8A002.a.3.
N.B. 2: For fibre-optic hull penetrators or connectors, see
8A002.c.
d.
EN
"Electronically steerable phased array antennae" operating above 31.8
35
EN
GHz;
Note: 5A001.d. does not control "electronically steerable phased array
antennae" for landing systems with instruments meeting ICAO
standards covering Microwave Landing Systems (MLS).
e.
f.
Radio direction finding equipment operating at frequencies above
30 MHz and having all of the following, and specially designed
components therefor:
1.
"Instantaneous bandwidth" of 10 MHz or more; and
2.
Capable of finding a Line Of Bearing (LOB) to noncooperating radio transmitters with a signal duration of less
than 1 ms;
Jamming equipment specially designed or modified to intentionally
and selectively interfere with, deny, inhibit, degrade or seduce mobile
telecommunications services and perform any of the following, and
specially designed components therefore:
1.
Simulate the functions of Radio Access Network (RAN)
equipment;
2.
Detect and exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM); or
3.
Exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM);
N.B.: For GNSS jamming equipment see Military Goods
Controls.
g.
Passive Coherent Location (PCL) systems or equipment, specially
designed for detecting and tracking moving objects by measuring
reflections of ambient radio frequency emissions, supplied by nonradar transmitters:
Technical Note:
Non-radar transmitters may include commercial radio, television or
cellular telecommunications base stations.
Note: 5A001.g. does not control any of the following:
h.
EN
a.
Radio-astronomical equipment; or
b.
Systems or equipment, that require any radio
transmission from the target.
Electronic equipment designed or modified to prematurely activate or
prevent the initiation of Radio Controlled Improvised Explosive
36
EN
Devices (RCIED):
N.B.: SEE ALSO MILITARY GOODS CONTROLS.
5A002
"Information security" systems, equipment and components therefor, as
follows:
a.
Systems, equipment, application specific "electronic assemblies",
modules and integrated circuits for "information security", as follows
and other specially designed components therefor:
N.B.: For the control of Global Navigation Satellite Systems (GNSS)
receiving equipment containing or employing decryption (i.e.,
GPS or GLONASS), see 7A005.
1.
Designed or modified to use "cryptography" employing digital
techniques performing any cryptographic function other than
authentication or digital signature and having any of the
following:
Technical Notes:
1.
Authentication and digital signature functions include their
associated key management function.
2.
Authentication includes all aspects of access control where
there is no encryption of files or text except as directly
related to the protection of passwords, Personal
Identification Numbers (PINs) or similar data to prevent
unauthorised access.
3.
"Cryptography" does not include "fixed" data compression
or coding techniques.
Note: 5A002.a.1. includes equipment designed or modified
to use "cryptography" employing analogue principles
when implemented with digital techniques.
EN
a.
A "symmetric algorithm" employing a key length in excess
of 56 bits; or
b.
An "asymmetric algorithm" where the security of the
algorithm is based on any of the following:
1.
Factorisation of integers in excess of 512 bits (e.g.,
RSA);
2.
Computation of discrete logarithms in a
multiplicative group of a finite field of size greater
than 512 bits (e.g., Diffie-Hellman over Z/pZ); or
3.
Discrete logarithms in a group other than mentioned
37
EN
in 5A002.a.1.b.2. in excess of 112 bits (e.g., DiffieHellman over an elliptic curve);
2.
Designed or modified to perform cryptanalytic functions;
3.
Not used;
4.
Specially designed or modified to reduce the compromising
emanations of information-bearing signals beyond what is
necessary for health, safety or electromagnetic interference
standards;
5.
Designed or modified to use cryptographic techniques to
generate the spreading code for "spread spectrum" systems, other
than those specified in 5A002.a.6., including the hopping code
for "frequency hopping" systems;
6.
Designed or modified to use cryptographic techniques to
generate channelising codes, scrambling codes or network
identification codes, for systems using ultra-wideband
modulation techniques and having any of the following:
a.
A bandwidth exceeding 500 MHz; or
b.
A "fractional bandwidth" of 20% or more;
7.
Non-cryptographic information and communications technology
(ICT) security systems and devices evaluated to an assurance
level exceeding class EAL-6 (evaluation assurance level) of the
Common Criteria (CC) or equivalent;
8.
Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion;
9.
Designed or modified to use "quantum cryptography".
Technical Note:
"Quantum cryptography" is also known as Quantum Key Distribution
(QKD).
Note: 5A002 does not control any of the following:
a.
EN
"Personalised smart cards" having any of the following:
1.
Where the cryptographic capability is restricted for
use in equipment or systems excluded from control
under entries b. to g. of this Note; or
2.
For general public-use applications where the
cryptographic capability is not user-accessible and it
38
EN
is specially designed and limited to allow protection
of personal data stored within;
N.B. If a "personalised smart card" has multiple functions,
the control status of each function is assessed
individually.
b.
Receiving equipment for radio broadcast, pay television or
similar restricted audience broadcast of the consumer type,
without digital encryption except that exclusively used for
sending the billing or programme-related information back
to the broadcast providers;
c.
Equipment where the cryptographic capability is not useraccessible and which is specially designed and limited to
allow any of the following:
d.
1.
Execution of copy-protected "software";
2.
Access to any of the following:
a.
Copy-protected contents stored on read-only
media; or
b.
Information stored in encrypted form on media
(e.g., in connection with the protection of
intellectual property rights) when the media is
offered for sale in identical sets to the public;
3.
Copying control of copyright protected audio/video
data; or
4.
Encryption and/or decryption for protection of
libraries, design attributes, or associated data for the
design of semiconductor devices or integrated
circuits;
Cryptographic equipment specially designed and limited
for banking use or 'money transactions';
Technical Note:
'Money transactions' in 5A002 Note d. includes the collection and
settlement of fares or credit functions.
e.
EN
Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication
systems) that are not capable of transmitting encrypted
data directly to another radiotelephone or equipment
(other than Radio Access Network (RAN) equipment), nor
of passing encrypted data through RAN equipment (e.g.,
Radio Network Controller (RNC) or Base Station
39
EN
Controller (BSC));
f.
Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of
unboosted cordless operation (i.e. a single, unrelayed hop
between terminal and home base station) is less than
400 metres according to the manufacturer's specifications;
or
g.
Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only
published or commercial cryptographic standards (except
for anti-piracy functions, which may be non-published) and
also meet the provisions of paragraphs b. to d. of the
Cryptography Note (Note 3 in Category 5 - Part 2), that
have been customised for a specific civil industry
application with features that do not affect the
cryptographic functionality of these original noncustomised devices;
h.
Equipment specially designed for the servicing of portable
or mobile radiotelephones and similar client wireless
devices that meet all the provisions of the Cryptography
Note (Note 3 in Category 5, Part 2), where the servicing
equipment meets all of the following:
i.
5B001
The cryptographic functionality of the servicing
equipment cannot easily be changed by the user of
the equipment;
2.
The servicing equipment is designed for installation
without further substantial support by the supplier;
and
3.
The servicing equipment cannot change the
cryptographic functionality of the device being
serviced;
Wireless "personal area network" equipment that
implement only published or commercial cryptographic
standards and where the cryptographic capability is
limited to a nominal operating range not exceeding 30
metres according to the manufacturer’s specifications.
Telecommunications test, inspection and production equipment, components
and accessories, as follows:
a.
EN
1.
Equipment and specially designed components or accessories therefor,
specially designed for the "development", "production" or "use" of
equipment, functions or features, specified in 5A001;
40
EN
Note: 5B001.a. does not control optical fibre characterization
equipment.
b.
Equipment and specially designed components or accessories therefor,
specially designed for the "development" of any of the following
telecommunication transmission or switching equipment:
1.
Equipment employing digital techniques designed to operate at a
"total digital transfer rate" exceeding 15 Gbit/s;
Technical Note:
For switching equipment the "total digital transfer rate" is measured at
the highest speed port or line.
2.
Equipment employing a "laser" and having any of the following:
a.
A transmission wavelength exceeding 1750 nm;
b.
Performing "optical amplification" using praseodymiumdoped fluoride fibre amplifiers (PDFFA);
c.
Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne
or homodyne techniques); or
d.
Employing analogue techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5B001.b.2.d. does not control equipment specially
designed for the "development" of commercial TV
systems.
5B002
5D001
EN
3.
Equipment employing "optical switching";
4.
Radio equipment employing Quadrature-Amplitude-Modulation
(QAM) techniques above level 256; or
5.
Equipment employing "common channel signalling" operating in
non-associated mode of operation.
"Information security" test, inspection and "production" equipment, as follows:
a.
Equipment specially designed for the "development" or "production"
of equipment specified in 5A002 or 5B002.b.;
b.
Measuring equipment specially designed to evaluate and validate the
"information security" functions of the equipment specified in 5A002
or "software" specified in 5D002.a. or 5D002.c.
"Software" as follows:
41
EN
a.
"Software" specially designed or modified for the "development",
"production" or "use" of equipment, functions or features, specified in
5A001;
b.
"Software" specially designed or modified to support "technology"
specified in 5E001;
c.
Specific "software" specially designed or modified to provide
characteristics, functions or features of equipment, specified in 5A001
or 5B001;
d.
"Software" specially designed or modified for the "development" of
any of the following telecommunication transmission or switching
equipment:
1.
Equipment employing digital techniques designed to operate at a
"total digital transfer rate" exceeding 15 Gbit/s;
Technical Note:
For switching equipment the "total digital transfer rate" is measured at
the highest speed port or line.
2.
Equipment employing a "laser" and having any of the following:
a.
A transmission wavelength exceeding 1,750 nm; or
b.
Employing analogue techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5D001.d.2.b. does not control "software" specially
designed or modified for the "development" of commercial
TV systems.
5D002
3.
Equipment employing "optical switching"; or
4.
Radio equipment employing Quadrature-Amplitude-Modulation
(QAM) techniques above level 256.
"Software" as follows:
a.
"Software" specially designed or modified for the "development",
"production" or "use" of equipment specified in 5A002 or "software"
specified in 5D002.c.;
b.
"Software" specially designed or modified to support "technology"
specified in 5E002;
c.
Specific "software", as follows:
1.
EN
"Software" having the characteristics, or performing or
42
EN
simulating the functions of the equipment, specified in 5A002;
2.
Note:
5E001
"Software" to certify "software" specified in 5D002.c.1.
5D002 does not control "software" as follows:
a.
"Software" required for the "use" of equipment excluded from
control by the Note to 5A002;
b.
"Software" providing any of the functions of equipment excluded
from control by the Note to 5A002.
"Technology" as follows:
a.
"Technology" according to the General Technology Note for the
"development", "production" or "use" (excluding operation) of
equipment, functions or features specified in 5A001 or "software"
specified in 5D001.a.;
b.
Specific "technology" as follows:
c.
1.
"Required" "technology" for the "development" or "production"
of telecommunications equipment specially designed to be used
on board satellites;
2.
"Technology" for the "development" or "use" of "laser"
communication techniques with the capability of automatically
acquiring and tracking signals and maintaining communications
through exoatmosphere or sub-surface (water) media;
3.
"Technology" for the "development" of digital cellular radio base
station receiving equipment whose reception capabilities that
allow multi-band, multi-channel, multi-mode, multi-coding
algorithm or multi-protocol operation can be modified by
changes in "software";
4.
"Technology" for the "development" of "spread spectrum"
techniques, including "frequency hopping" techniques;
"Technology" according to the General Technology Note for the
"development" or "production" of any of the following:
1.
Equipment employing digital techniques designed to operate at a
"total digital transfer rate" exceeding 15 Gbit/s;
Technical Note:
For switching equipment the "total digital transfer rate" is measured at
the highest speed port or line.
2.
EN
Equipment employing a "laser" and having any of the following:
43
EN
a.
A transmission wavelength exceeding 1,750 nm;
b.
Performing "optical amplification" using PraseodymiumDoped Fluoride Fibre Amplifiers (PDFFA);
c.
Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne
or homodyne techniques);
d.
Employing wavelength division multiplexing techniques of
optical carriers at less than 100 GHz spacing; or
e.
Employing analogue techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5E001.c.2.e. does not control "technology" for the
"development" or "production" of commercial TV
systems.
N.B.: For "technology" for the "development" or "production" of
non-telecommunications equipment employing a laser, see
6E.
3.
Equipment employing "optical switching";
4.
Radio equipment having any of the following:
a.
Quadrature-Amplitude-Modulation
above level 256;
(QAM)
techniques
b.
Operating at input or output frequencies exceeding
31.8 GHz; or
Note: 5E001.c.4.b. does not control "technology" for the
"development" or "production" of equipment
designed or modified for operation in any frequency
band which is "allocated by the ITU" for radiocommunications services, but not for radiodetermination.
c.
5.
Equipment employing "common channel signalling" operating in
non-associated mode of operation; or
6.
Mobile equipment having all of the following:
a.
EN
Operating in the 1.5 MHz to 87.5 MHz band and
incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal;
Operating at an optical wavelength greater than or equal to
200 nm and less than or equal to 400 nm; and
44
EN
b.
d.
e.
5E002
EN
Operating as a "local area network";
"Technology" according to the General Technology Note for the
"development" or "production" of Microwave Monolithic Integrated
Circuit (MMIC) power amplifiers specially designed for
telecommunications and having any of the following:
1.
Rated for operation at frequencies exceeding 3.2 GHz up to and
including 6 GHz and with an average output power greater than 4
W (36 dBm) with a "fractional bandwidth" greater than 15%;
2.
Rated for operation at frequencies exceeding 6 GHz up to and
including 16 GHz and with an average output power greater than
1 W (30 dBm) with a "fractional bandwidth" greater than 10%;
3.
Rated for operation at frequencies exceeding 16 GHz up to and
including 31.8 GHz and with an average output power greater
than 0.8 W (29 dBm) with a "fractional bandwidth" greater than
10%;
4.
Rated for operation at frequencies exceeding 31.8 GHz up to and
including 37.5 GHz;
5.
Rated for operation at frequencies exceeding 37.5 GHz up to and
including 43.5 GHz and with an average output power greater
than 0.25 W (24 dBm) with a "fractional bandwidth" greater than
10%; or
6.
Rated for operation at frequencies exceeding 43.5 GHz;
"Technology" according to the General Technology Note for the
"development" or "production" of electronic devices and circuits,
specially designed for telecommunications and containing components
manufactured from "superconductive" materials, specially designed for
operation at temperatures below the "critical temperature" of at least
one of the "superconductive" constituents and having any of the
following:
1.
Current switching for digital circuits using "superconductive"
gates with a product of delay time per gate (in seconds) and
power dissipation per gate (in watts) of less than 10-14 J; or
2.
Frequency selection at all frequencies using resonant circuits
with Q-values exceeding 10,000.
"Technology" according to the General Technology Note for the
"development", "production" or "use" of equipment specified in 5A002, 5B002
or "software" specified in 5D002.a. or 5D002.c.
45
EN
PART B
Article 6 applies to the following goods:
Entry of
Annex I
0A001
Description
"Nuclear reactors" and specially designed or prepared equipment and
components therefor, as follows:
a.
"Nuclear reactors";
b.
Metal vessels, or major shop-fabricated parts therefor, including the
reactor vessel head for a reactor pressure vessel, specially designed or
prepared to contain the core of a "nuclear reactor";
c.
Manipulative equipment specially designed or prepared for inserting or
removing fuel in a "nuclear reactor";
d.
Control rods specially designed or prepared for the control of the
fission process in a "nuclear reactor", support or suspension structures
therefor, rod drive mechanisms and rod guide tubes;
e.
Pressure tubes specially designed or prepared to contain fuel elements
and the primary coolant in a "nuclear reactor" at an operating pressure
in excess of 5.1 MPa;
f.
Zirconium metal and alloys in the form of tubes or assemblies of tubes
in which the ratio of hafnium to zirconium is less than 1:500 parts by
weight, specially designed or prepared for use in a "nuclear reactor";
g.
Coolant pumps specially designed or prepared for circulating the
primary coolant of "nuclear reactors";
h.
'Nuclear reactor internals' specially designed or prepared for use in a
"nuclear reactor", including support columns for the core, fuel
channels, thermal shields, baffles, core grid plates, and diffuser plates;
Note: In 0A001.h. 'nuclear reactor internals' means any major
structure within a reactor vessel which has one or more
functions such as supporting the core, maintaining fuel
alignment, directing primary coolant flow, providing radiation
shields for the reactor vessel, and guiding in-core
instrumentation.
EN
i.
Heat exchangers (steam generators) specially designed or prepared for
use in the primary coolant circuit of a "nuclear reactor";
j.
Neutron detection and measuring instruments specially designed or
prepared for determining neutron flux levels within the core of a
"nuclear reactor".
46
EN
0C002
"Special fissile materials"
Note:
EN
0C002 does not control four "effective grammes" or less when
contained in a sensing component in instruments.
47
EN
ANNEX II
Goods and technology referred to in Article 2(1) (a), 2(3) 4, 5(1)(b) and 5(1)(d)
INTRODUCTORY NOTES
1.
Unless otherwise stated, reference numbers used in the column entitled ‘Description’
refer to the descriptions of dual-use items and technology set out in Annex I to
Regulation (EC) No 428/2009.
2.
A reference number in the column entitled ‘Related item from Annex I to Regulation
(EC) No 428/2009’ means that the characteristics of the item described in the column
‘Description’ lie outside the parameters set out in the description of the dual-use
entry referred to.
3.
Definitions of terms between ‘single quotation marks’ are given in a technical note to
the relevant item.
4.
Definitions of terms between “double quotation marks” can be found in Annex I to
Regulation (EC) No 428/2009.
General Notes
1.
The object of the prohibitions contained in this Annex should not be defeated by the
export of any non-prohibited goods (including plant) containing one or more
prohibited components when the prohibited component or components are the
principal element of the goods and can feasibly be removed or used for other
purposes.
N.B.: In judging whether the prohibited component or components are to be
considered the principal element, it is necessary to weigh the factors of
quantity, value and technological know-how involved and other special
circumstances which might establish the prohibited component or components
as the principal element of the goods being procured.
2.
Goods specified in this Annex include both new and used goods.
General Technology Note (GTN)
(To be read in conjunction with Section II.B.)
EN
1.
The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the
‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of
which is prohibited in Part A (Goods) below, is prohibited in accordance with the
provisions of Section II.B.
2.
The ‘technology’‘required’ for the ‘development’, ‘production’ or ‘use’ of prohibited
goods remains under prohibition even when applicable to non-prohibited goods.
3.
Prohibitions do not apply to that ‘technology’ which is the minimum necessary for
the installation, operation, maintenance (checking) and repair of those goods which
48
EN
are not prohibited or the export of which has been authorised in accordance with
Regulation (EC) No 423/2007 or this Regulation.
Prohibitions on ‘technology’ transfer do not apply to information ‘in the public
domain’, to ‘basic scientific research’ or to the minimum necessary information for
patent applications.
4.
II.A. GOODS
A0. Nuclear Materials, Facilities, and Equipment
No
II.A0.001
Description
Hollow cathode lamps as follows:
a.
Iodine hollow cathode lamps with windows in pure
silicon or quartz
b.
Uranium hollow cathode lamps
Related item
from Annex I to
Regulation (EC)
No 428/2009
—
II.A0.002
Faraday isolators in the wavelength range 500 nm – 650 nm
—
II.A0.003
Optical gratings in the wavelength range 500 nm – 650 nm
—
II.A0.004
Optical fibres in the wavelength range 500 nm – 650 nm
coated with anti-reflecting layers in the wavelength range
500 nm – 650 nm and having a core diameter greater than
0,4 mm but not exceeding 2 mm
—
II.A0.005
Nuclear reactor vessel components and testing equipment,
other than those specified in 0A001, as follows:
0A001
II.A0.006
II.A0.007
1.
Seals
2.
Internal components
3.
Sealing, testing and measurement equipment
Nuclear detection systems for detection, identification or
quantification of radioactive materials and radiation of
nuclear origin and specially designed components thereof
other than those specified in 0A001.j. or 1A004.c.
Bellows-sealed valves made of aluminium alloy or stainless
steel type 304, 304L or 316L.
0A001.j
1A004.c
0B001.c.6
2A226
Note:
EN
This item does not cover bellow valves defined in
0B001.c.6 and 2A226.
49
EN
II.A0.008
Laser mirrors, other than those specified in 6A005.e,
consisting of substrates having a thermal expansion
coefficient of 10-6K-1 or less at 20°C (e.g. fused silica or
sapphire).
0B001.g.5,
6A005.e
Note: This item does not cover optical systems specially
designed for astronomical applications, except if the
mirrors contain fused silica.
II.A0.009
Laser lenses, other than those specified in 6A005.e.2,
consisting of substrates having a thermal expansion
coefficient of 10-6K-1 or less at 20°C (e.g. fused silica).
0B001.g,
6A005.e.2
II.A0.010
Pipes, piping, flanges, fittings made of, or lined with, nickel
or nickel alloy containing more than 40 % nickel by weight,
other than those specified in 2B350.h.1., in respect of pipes
having an inner diameter smaller than 100 mm.
2B350
II.A0.012
Shielded enclosures for the manipulation, storage and
handling of radioactive substances (Hot cells).
0B006
II.A0.013
‘Natural uranium’ or ‘depleted uranium’ or thorium in the
form of metal, alloy, chemical compound or concentrate and
any other material containing one or more of the foregoing,
other than those specified in 0C001.
0C001
II.A0.014
Detonation chambers having a capacity of explosion
absorption of more than 2.5kg TNT equivalent.
—
A1. Materials, chemicals, ‘microorganisms’ and ‘toxins’
No
Description
II.A1.001
Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA)
CAS 298-07-7 solvent in any quantity, with a purity greater
than 90 %.
–
II.A1.002
Fluorine gas (Chemical Abstract Number (CAS): 7782-414), with a purity of at least 95 %.
–
II.A1.005
Electrolytic cells for fluorine production with an output
capacity greater than 100 g of fluorine per hour.
1B225
Note:
EN
Related item
from Annex I to
Regulation (EC)
No 428/2009
This item does not cover electrolytic cells defined in
item 1B225.
50
EN
II.A1.006
Catalysts, other than those prohibited by 1A225, containing
platinum, palladium or rhodium, usable for promoting the
hydrogen isotope exchange reaction between hydrogen and
water for the recovery of tritium from heavy water or for the
production of heavy water.
1B231, 1A225
II.A1.007
Aluminium and its alloys, other than those specified in
1C002.b.4 or 1C202.a, in crude or semi-fabricated form
having either of the following characteristics:
1C002.b.4,
1C202.a
a.
Capable of an ultimate tensile strength of 460 MPa
or more at 293 K (20 °C); or
b.
Having a tensile strength of 415 MPa or more at 298
K (25 °C).
II.A1.008
Magnetic metals, of all types and of whatever form, having
an initial relative permeability of 120 000 or more and a
thickness between 0,05 and 0,1 mm.
1C003.a
II.A1.009
‘Fibrous or filamentary materials’ or prepregs, as follows:
1C010.a
a.
Carbon or aramid ‘fibrous or filamentary materials’
having either of the following characteristics:
1C010.b
1C210.a
1.
2.
b.
II.A1.010
EN
A ‘specific modulus’ exceeding 10 × 106 m;
or
1C210.b
A ‘specific tensile strength’ exceeding 17 ×
104 m;
Glass ‘fibrous or filamentary materials’ having
either of the following characteristics:
1.
A ‘specific modulus’ exceeding 3,18 × 106 m;
or
2.
A ‘specific tensile strength’ exceeding 76,2 ×
103 m;
c.
Thermoset resin-impregnated continuous ‘yarns’,
‘rovings’, ‘tows’ or ‘tapes’ with a width of 15 mm
or less (once prepregs), made from carbon or glass
‘fibrous or filamentary materials’ other than those
specified in II.A1.010.a. or b.
Note:
This item does not cover ‘fibrous or filamentary
materials’ defined in items 1C010.a, 1C010.b,
1C210.a and 1C210.b.
Resin-impregnated or pitch-impregnated fibres (prepregs),
51
1C010.e.
EN
metal or carboncoated fibres (preforms) or ‘carbon fibre
preforms’, as follows:
a.
Made from ‘fibrous or filamentary materials’
specified in II.A1.009 above;
b.
Epoxy resin ‘matrix’ impregnated carbon ‘fibrous or
filamentary materials’ (prepregs), specified in
1C010.a, 1C010.b or 1C010.c, for the repair of
aircraft structures or laminates, of which the size of
individual sheets does not exceed 50 cm × 90 cm;
c.
Prepregs specified in 1C010.a, 1C010.b or 1C010.c,
when impregnated with phenolic or epoxy resins
having a glass transition temperature (Tg) less than
433 K (160 °C) and a cure temperature lower than
the glass transition temperature.
Note:
This item does not cover ‘fibrous or filamentary
materials’ defined in item 1C010.e.
1C210
II.A1.011
Reinforced silicon carbide ceramic composites usable for
nose tips, re-entry vehicles, nozzle flaps, usable in ‘missiles’,
other than those specified in 1C107.
1C107
II.A1.012
Maraging steels, other than those specified in 1C116 or
1C216, ‘capable of’ an ultimate tensile strength of 2050 MPa
or more, at 293 K (20 °C).
1C216
Technical note:
The phrase ‘maraging steel capable of’ encompasses
maraging steel before or after heat treatment.
II.A1.013
II.A1.014
EN
Tungsten, tantalum, tungsten carbide, tantalum carbide and
alloys, having both of the following characteristics:
a.
In forms having a hollow cylindrical or spherical
symmetry (including cylinder segments) with an
inside diameter between 50 mm and 300 mm; and
b.
A mass greater than 5 kg.
Note:
This item does not cover tungsten, tungsten carbide
and alloys defined in item 1C226.
Elemental powders of cobalt, neodymium or samarium or
alloys or mixtures thereof containing at least 20 % by weight
of cobalt, neodymium or samarium, with a particle size less
than 200 μm.
52
1C226
—
EN
II.A1.015
Pure tributyl phosphate (TBP) [CAS No 126-73-8] or any
mixture having a TBP content of more than 5 % by weight.
—
II.A1.016
Maraging steel, other than those prohibited by 1C116, 1C216
or II.A1.012
—
Technical Note:
Maraging steels are iron alloys generally characterised by
high nickel, very low carbon content and the use of
substitutional elements or precipitates to produce
strengthening and age-hardening of the alloy.
II.A1.017
II.A1.018
Metals, metal powders and material as follows:
a.
Tungsten and tungsten alloys, other than those
prohibited by 1C117, in the form of uniform
spherical or atomized particles of 500μm diameter
or less with a tungsten content of 97 % by weight or
more;
b.
Molybdenum and molybdenum alloys, other than
those prohibited by 1C117, in the form of uniform
spherical or atomized particles of 500 μm diameter
or less with a molybdenum content of 97 % by
weight or more;
c.
Tungsten materials in the solid form, other than
those prohibited by 1C226, or II.A1.013 having
material compositions as follows:
b)
EN
Tungsten and alloys containing 97 % by
weight or more of tungsten;
2.
Copper infiltrated tungsten containing 80 %
by weight or more of tungsten; or
3.
Silver infiltrated tungsten containing 80 % by
weight or more of tungsten.
Soft magnetic alloys having a chemical composition as
follows:
a)
II.A1.019
1.
—
—
Iron content between 30 % and 60 %, and
Cobalt content between 40 % and 60 %.
“Fibrous or filamentary materials” or prepregs, not
prohibited by Annex I or by Annex II (under II.A1.009,
II.A1.010) of this Regulation, or not specified by Annex I of
Regulation (EC) No 428/2009, as follows:
53
—
EN
a)
Carbon “fibrous or filamentary materials”;
Note: II.A1.019a. does not cover fabrics.
b)
Thermoset resin-impregnated continuous “yarns”,
“rovings”, “tows”, or “tapes”, made from carbon
“fibrous or filamentary materials”;
c)
Polyacrylonitrile (PAN) continuous
“rovings”, “tows” or “tapes”
“yarns”,
A2. Materials Processing
No
II.A2.001
Description
Vibration test systems, equipment and components thereof,
other than those specified in 2B116:
a.
Vibration test systems employing feedback or
closed loop techniques and incorporating a digital
controller, capable of vibrating a system at an
acceleration equal to or greater than 0,1g rms
between 0,1 Hz and 2 kHz and imparting forces
equal to or greater than 50 kN, measured ‘bare
table’;
b.
Digital controllers, combined with specially
designed vibration test ‘software’, with a real-time
bandwidth greater than 5 kHz designed for use
with vibration test systems specified in a.;
c.
Vibration thrusters (shaker units), with or without
associated amplifiers, capable of imparting a force
equal to or greater than 50 kN, measured ‘bare
table’, and usable in vibration test systems
specified in a.;
d.
Test piece support structures and electronic units
designed to combine multiple shaker units in a
system capable of providing an effective combined
force equal to or greater than 50 kN, measured
‘bare table’, and usable in vibration systems
specified in a.
Related item
from Annex I to
Regulation (EC)
No 428/2009
2B116
Technical note:
EN
54
EN
‘Bare table’ means a flat table, or surface, with no fixture
or fittings.
II.A2.002
Machine tools and components and numerical controls for
machine tools, as follows:
2B201.b
2B001.c
a.
Machine tools for grinding having positioning
accuracies with “all compensations available”
equal to or less (better) than 15 μm according to
ISO 230/2 (1988) (1) or national equivalents along
any linear axis;
Note: This item does not cover machine tools for
grinding defined in items 2B201.b and
2B001.c.
b.
II.A2.003
Components and numerical controls, specially
designed for machine tools specified in 2B001,
2B201, or under a.
Balancing machines and related equipment as follows:
a.
b.
2B119
Balancing machines, designed or modified for
dental or other medical equipment, having all the
following characteristics:
1.
Not capable of balancing rotors/assemblies
having a mass greater than 3 kg;
2.
Capable of balancing rotors/assemblies at
speeds greater than 12500 rpm;
3.
Capable of correcting imbalance in two
planes or more; and
4.
Capable of balancing to a residual specific
imbalance of 0,2 g × mm per kg of rotor
mass;
Indicator heads designed or modified for use with
machines specified in a. above.
Technical Note:
Indicator heads are sometimes known as balancing
instrumentation.
II.A2.004
EN
Remote manipulators that can be used to provide remote
actions in radiochemical separation operations or hot cells,
other than those specified in 2B225, having either of the
following characteristics:
55
2B225
EN
II.A2.006
a.
A capability of penetrating a hot cell wall of 0,3 m
or more (through the wall operation); or
b.
A capability of bridging over the top of a hot cell
wall with a thickness of 0,3 m or more (over the
wall operation).
Oxidation furnaces capable of operation at temperatures
above 400 °C
2B226
2B227
Note:
II.A2.007
II.A2.011
EN
This item does not cover tunnel kilns with roller or
car conveyance, tunnel kilns with conveyor belt,
pusher type kilns or shuttle kilns, specially
designed for the production of glass, tableware
ceramics or structural ceramics.
“Pressure transducers”, other than those defined in 2B230,
capable of measuring absolute pressures at any point in the
range 0 to 200 kPa and having both of the following
characteristics:
a.
Pressure sensing elements made of or protected by
“Materials resistant to corrosion by uranium
hexafluoride (UF6)”, and
b.
Having either of the following characteristics:
1.
A full scale of less than 200 kPa and an
“accuracy” of better than ± 1 % of full scale;
or
2.
A full scale of 200 kPa or greater and an
“accuracy” of better than 2 kPa.
Centrifugal separators, capable of continuous separation
without the propagation of aerosols and manufactured from:
1.
Alloys with more than 25 % nickel and 20 %
chromium by weight;
2.
Fluoropolymers;
3.
Glass (including vitrified or enamelled coating or
glass lining);
4.
Nickel or alloys with more than 40 % nickel by
weight;
56
2B230
2B352.c
EN
II.A2.012
5.
Tantalum or tantalum alloys;
6.
Titanium or titanium alloys; or
7.
Zirconium or zirconium alloys.
Note:
This item does not cover centrifugal separators
defined in item 2B352.c.
Sintered metal filters made of nickel or nickel alloy with
more than 40 % nickel by weight.
Note:
II.A2.013
2B352.d
This item does not cover filters defined in item
2B352.d.
Spin-forming machines and flow-forming machines, other
than those controlled by 2B009, 2B109 or 2B209, having a
roller force of more than 60 kN and specially designed
components therefor.
—
Technical Note:
For the purpose of II.A2.013, machines combining the
functions of spin-forming and flow-forming are regarded as
flow-forming machines.
A3. Electronics
No
II.A3.001
II.A3.002
EN
Description
High voltage direct current power supplies having both of the
following characteristics:
a.
Capable of continuously producing, over a time
period of eight hours, 10 kV or more, with output
power of 5 kW or more with or without sweeping;
and
b.
Current or voltage stability better than 0,1 % over a
time period of four hours.
Note:
This item does not cover power supplies defined in
items 0B001.j.5 and 3A227.
Mass spectrometers, other than those specified in 3A233 or
0B002.g, capable of measuring ions of 200 atomic mass
units or more and having a resolution of better than 2 parts in
57
Related item
from Annex I to
Regulation (EC)
No 428/2009
3A227
3A233
EN
200, as follows, and ion sources thereof:
a.
Inductively coupled plasma mass spectrometers
(ICP/MS);
b.
Glow discharge mass spectrometers (GDMS);
c.
Thermal ionisation mass spectrometers (TIMS);
d.
Electron bombardment mass spectrometers which
have a source chamber constructed from, lined with
or plated with ‘materials resistant to corrosion by
uranium hexafluoride UF6’;
e.
Molecular beam mass spectrometers having either
of the following characteristics:
f.
II.A3.003
1.
A source chamber constructed from, lined
with or plated with stainless steel or
molybdenum and equipped with a cold trap
capable of cooling to 193 K (– 80°C) or less;
or
2.
A source chamber constructed from, lined
with or plated with ‘materials resistant to
corrosion by uranium hexafluoride (UF6)’;
Mass
spectrometers
equipped
with
a
microfluorination ion source designed for actinides
or actinide fluorides.
Frequency changers or generators, other than those
prohibited by 0B001 or3A225, having all of the following
characteristics, and specially designed components and
software therefor:
a.
Multiphase output capable of providing a power of
40 W or greater;
b.
Capable of operating in the frequency range
between 600 and 2000 Hz; and
c.
Frequency control better (less) than 0,1 %.
—
Technical Note:
Frequency changers in II.A3.003 are also known as
converters or inverters.
A6. Sensors and Lasers
EN
58
EN
No
Description
II.A6.001
Yttrium aluminium garnet (YAG) rods
II.A6.002
Optical equipment and components, other than those
specified in 6A002, 6A004.b as follows:
Related item
from Annex I to
Regulation (EC)
No 428/2009
–
6A002
6A004.b
Infrared optics in the wavelength range 9000 nm – 17000 nm
and components thereof, including cadmium telluride (CdTe)
components.
II.A6.003
Wave front corrector systems for use with a laser beam
having a diameter exceeding 4 mm, and specially designed
components thereof, including control systems, phase front
sensors and ‘deformable mirrors’ including bimorph mirrors.
Note:
II.A6.004
6A003
This item does not cover mirrors defined in
6A004.a, 6A005.e and 6A005.f.
Argon ion “lasers” having an average output power equal to
or greater than 5 W.
6A005.a.6
6A205.a
Note:
II.A6.005
This item does not cover argon ion ‘lasers’ defined
in items 0B001.g.5, 6A005 and 6A205.a.
Semiconductor “lasers” and components thereof, as follows:
a.
Individual semiconductor “lasers” with an output
power greater than 200 mW each, in quantities
larger than 100;
b.
Semiconductor “laser” arrays having an output
power greater than 20 W.
6A005.b
Notes:
II.A6.006
EN
1.
Semiconductor “lasers” are commonly called
“laser” diodes.
2.
This item does not cover “lasers” defined in items
0B001.g.5, 0B001.h.6 and 6A005.b.
3.
This item does not cover “laser” diodes with a
wavelength in the range 1200 nm – 2000 nm.
Tunable semiconductor “lasers” and tunable semiconductor
‘laser’ arrays, of a wavelength between 9 μm and 17 μm, as
well as array stacks of semiconductor ‘lasers’ containing at
least one tunable semiconductor ‘laser’ array of such
59
6A005.b
EN
wavelength.
Notes:
II.A6.007
II.A6.008
1.
Semiconductor “lasers” are commonly called
“laser” diodes.
2.
This item does not cover semiconductor “lasers”
defined in items 0B001.h.6 and 6A005.b
Solid state “tunable” “lasers” and specially designed
components thereof as follows:
a.
Titanium-sapphire lasers,
b.
Alexandrite lasers.
Note:
This item does not cover titanium-sapphire and
alexandrite lasers defined in items 0B001.g.5,
0B001.h.6 and 6A005.c.1.
Neodymium-doped (other than glass) “lasers”, having an
output wavelength greater than 1000 nm but not exceeding
1100 nm and output energy exceeding 10 J per pulse.
Note:
II.A6.009
II.A6.010
6A005.c.1
6A005.c.2
This item does not cover neodymium-doped (other
than glass) ‘lasers’ defined in item 6A005.c.2.b.
Components of acousto-optics, as follows:
a.
Framing tubes and solid-state imaging devices
having a recurrence frequency equal to or exceeding
1kHz;
b.
Recurrence frequency supplies;
c.
Pockels cells.
Radiation-hardened cameras, or lenses thereof, other than
those specified in 6A203.c., specially designed, or rated as
radiation-hardened, to withstand a total radiation dose
greater than 50 × 103 Gy(silicon) (5 × 106 rad (silicon))
without operational degradation.
6A203.b.4.c
6A203.c
Technical note:
The term Gy(silicon) refers to the energy in Joules per
kilogram absorbed by an unshielded silicon sample when
exposed to ionising radiation.
II.A6.011
EN
Tunable pulsed dye laser amplifiers and oscillators, having
all of the following characteristics:
60
6A205.c
EN
1.
Operating at wavelengths between 300 nm and 800
nm;
2.
An average output power greater than 10 W but not
exceeding 30 W;
3.
A repetition rate greater than 1 kHz; and
4.
Pulse width less than 100 ns.
Notes:
II.A6.012
1.
This item does not cover single mode oscillators.
2.
This item does not cover tunable pulsed dye laser
amplifiers and oscillators defined in item 6A205.c,
0B001.g.5 and 6A005.
Pulsed carbon dioxide “lasers” having all of the following
characteristics:
1.
Operating at wavelengths between 9000 nm and
11000 nm;
2.
A repetition rate greater than 250 Hz;
3.
An average output power greater than 100 W but
not exceeding 500 W; and
4.
Pulse width less than 200 ns.
Note:
This item does not cover pulsed carbon dioxide
laser amplifiers and oscillators defined in item
6A205.d., 0B001.h.6. and 6A005.d.
6A205.d
A7. Navigation and Avionics
No
II.A7.001
Related item
from Annex I to
Regulation (EC)
No 428/2009
Description
Inertial navigation systems and
components thereof, as follows:
specially
designed
7A003
7A103
I.
EN
Inertial navigation systems which are certified for
use on “civil aircraft” by civil authorities of a State
participating in the Wassenaar Arrangement, and
specially designed components thereof, as follows:
61
EN
a.
Inertial navigation systems (INS) (gimballed
or strapdown) and inertial equipment designed
for “aircraft”, land vehicle, vessels (surface or
underwater) or ‘spacecraft’ for attitude,
guidance or control, having any of the
following characteristics, and specially
designed components thereof:
1.
Navigation
error
(free
inertial)
subsequent to normal alignment of 0,8
nautical mile per hour (nm/hr) 'Circular
Error Probable' (CEP) or less (better); or
2.
Specified to function at linear
acceleration levels exceeding 10 g;
b.
Hybrid Inertial Navigation Systems embedded
with Global Navigation Satellite Systems(s)
(GNSS) or with “Data-Based Referenced
Navigation” (“DBRN”) System(s) for attitude,
guidance or control, subsequent to normal
alignment, having an INS navigation position
accuracy, after loss of GNSS or “DBRN” for a
period of up to four minutes, of less (better)
than 10 metres 'Circular Error Probable' (CEP)
;
c.
Inertial Equipment for Azimuth, Heading, or
North Pointing having any of the following
characteristics, and specially designed
components thereof:
1.
Designed to have an Azimuth, Heading,
or North Pointing accuracy equal to, or
less (better) than 6 arc/ minutes RMS at
45 degrees latitude; or
2.
Designed to have a non-operating shock
level of at least 900 g at a duration of at
least 1 msec.
Note: The parameters of I.a. and I.b. are applicable
with any of the following environmental
conditions:
1.
EN
Input random vibration with an overall
magnitude of 7,7 g rms in the first half
hour and a total test duration of one and
a half hours per axis in each of the three
perpendicular axes, when the random
62
EN
vibration meets the following:
a.
A constant power spectral density
(PSD) value of 0,04 g2/Hz over a
frequency interval of 15 to 1000
Hz; and
b.
The PSD attenuates with a
frequency from 0,04 g2/Hz to 0,01
g2/Hz over a frequency interval
from 1000 to 2000 Hz;
2.
A roll and yaw rate equal to or greater
than +2,62 radian/s (150 deg/s); or
3.
According to national
equivalent to 1. or 2. above.
standards
Technical Notes:
1.
I.b. refers to systems in which an INS and
other independent navigation aids are built
into a single unit (embedded) in order to
achieve improved performance.
2.
'Circular Error Probable' (CEP) – In a circular
normal distribution, the radius of the circle
containing 50 percent of the individual
measurements being made, or the radius of
the circle within which there is a 50 percent
probability of being located.
II.
Theodolite systems incorporating inertial equipment
specially designed for civil surveying purposes and
designed to have an Azimuth, Heading, or North
Pointing accuracy equal to, or less (better) than 6
arc minutes RMS at 45 degrees latitude, and
specially designed components thereof.
III.
Inertial or other equipment using accelerometers
specified in 7A001 or 7A101, where such
accelerometers are specially designed and
developed as MWD (Measurement While Drilling)
sensors for use in downhole well services
operations.
A9. Aerospace and Propulsion
No
EN
Description
63
Related item
from Annex I to
EN
Regulation (EC)
No 428/2009
II.A9.001
—
Explosive bolts.
II.B. TECHNOLOGY
No
II.B.001
Description
Technology required for the development, production, or use
of the items in Part II.A. (Goods) above.
Related item
from Annex I to
Regulation (EC)
No 428/2009
–
.
II.B.002
Technology required for the development or production of
the items in Part IV A. (Goods) of Annex IV.
–
Technical Note:
The term ‘technology’ includes software.
EN
64
EN
ANNEX III
List of equipment which might be used for internal repression as referred to in Articles
2(1)(b), 5(1)(c) and 5(1)(e)
1.
Fire-arms, ammunition and related accessories therefor, as follows:
1.1
Firearms not controlled by ML 1 and ML 2 of the EU Common Military List21;
1.2
Ammunition specially designed for the firearms listed in 1.1 and specially
designed components therefor;
1.3
Weapon-sights not controlled by the EU Common Military List.
2.
Bombs and grenades not controlled by the EU Common Military List.
3.
Vehicles as follows:
3.1
Vehicles equipped with a water cannon, specially designed or modified for the
purpose of riot control;
3.2
Vehicles specially designed or modified to be electrified to repel borders;
3.3
Vehicles specially designed or modified to remove barricades, including
construction equipment with ballistic protection;
3.4
Vehicles specially designed for the transport or transfer of prisoners and/or
detainees;
3.5
Vehicles specially designed to deploy mobile barriers;
3.6
Components for the vehicles specified in 3.1 to 3.5 specially designed for the
purposes of riot control.
Note 1 This item does not control vehicles specially designed for the purposes
of fire-fighting.
Note 2 For the purposes of item 3.5 the term "vehicles" includes trailers.
4.
Explosive substances and related equipment as follows:
4.1
21
EN
Equipment and devices specially designed to initiate explosions by electrical or
non-electrical means, including firing sets, detonators, igniters, boosters and
detonating cord, and specially designed components therefor; except those
specially designed for a specific commercial use consisting of the actuation or
operation by explosive means of other equipment or devices the function of
which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge
arresters of fire sprinkler actuators);
OJ L 88, 29.3.2007, p. 58.
65
EN
5.
4.2
Linear cutting explosive charges not controlled by the EU Common Military
List;
4.3
Other explosives not controlled by the EU Common Military List and related
substances as follows:
a.
amatol;
b.
nitrocellulose (containing more than 12,5 % nitrogen);
c.
nitroglycol;
d.
pentaerythritol tetranitrate (PETN);
e.
picryl chloride;
f.
2,4,6-trinitrotoluene (TNT).
Protective equipment not controlled by ML 13 of the EU Common Military List as
follows:
5.1
Body armour providing ballistic and/or stabbing protection;
5.2
Helmets providing ballistic and/or fragmentation protection, anti-riot helmets,
antiriot shields and ballistic shields.
Note: This item does not control:
- equipment specially designed for sports activities;
- equipment specially designed for safety of work requirements.
EN
6.
Simulators, other than those controlled by ML 14 of the EU Common Military List,
for training in the use of firearms, and specially designed software therefor.
7.
Night vision, thermal imaging equipment and image intensifier tubes, other than
those controlled by the EU Common Military List.
8.
Razor barbed wire.
9.
Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.
10.
Production equipment specially designed for the items specified in this list.
11.
Specific technology for the development, production or use of the items specified in
this list.
66
EN
ANNEX IV
Goods and technology referred to in Article 3 and 5(2)
INTRODUCTORY NOTES
1.
Unless otherwise stated, reference numbers used in the column below entitled
‘Description’ refer to the descriptions of dual use items and technology set out in
Annex I to Regulation (EC) No 428/2009.
2.
A reference number in the column below entitled ‘Related item from Annex I to
Regulation (EC) No 428/2009’ means that the characteristics of the item described in
the ‘Description’ column lie outside the parameters set out in the description of the
dual use entry referred to.
3.
Definitions of terms between ‘single quotation marks’ are given in a technical note to
the relevant item.
4.
Definitions of terms between “double quotation marks” can be found in Annex I to
Regulation (EC) No 428/2009.
GENERAL NOTES
1.
The object of the controls contained in this Annex should not be defeated by the
export of any non-controlled goods (including plant) containing one or more
controlled components when the controlled component or components is/are the
principal element of the goods and can feasibly be removed or used for other
purposes.
N.B.: In judging whether the controlled component or components is/are to be
considered the principal element, it is necessary to weigh the factors of
quantity, value and technological know-how involved and other special
circumstances which might establish the controlled component or components
as the principal element of the goods being procured.
2.
Goods specified in this Annex include both new and used goods.
GENERAL TECHNOLOGY NOTE (GTN)
(To be read in conjunction with Section IV.B)
EN
1.
The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the
‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of
which is controlled in Part A (Goods) below, is controlled in accordance with the
provisions of Section IV.B.
2.
The ‘technology’ ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods
under control remains under control even when it is applicable to non-controlled
goods.
3.
Controls do not apply to that ‘technology’ which is the minimum necessary for the
installation, operation, maintenance (checking) and repair of those goods which are
67
EN
not controlled or the export of which has been authorised in accordance with
Regulation (EC) No 423/2007 or Regulation (EU) No …/2010.
Controls on ‘technology’ transfer do not apply to information ‘in the public domain’,
to ‘basic scientific research’ or to the minimum necessary information for patent
applications.
4.
IV.A. GOODS
A0. Nuclear Materials, Facilities, and Equipment
No
Description
Related
item from
Annex I to
Regulation
(EC) No 42
8/2009
IV.A0.011
Vacuum pumps other than those specified in 0B002.f.2., or
2B231, as follows:
0B002.f.2,
2B231
Turbomolecular pumps having a flowrate equal to or greater than
400 l/s,
Roots type vacuum roughing pumps having a volumetric
aspiration flowrate greater than 200m3/h.
Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll,
dry vacuum pumps.
A1. Materials, chemicals, ‘micro-organisms’ and ‘toxins’
EN
No
Description
IV.A1.003
Ring-shaped seals and gaskets, having an inner diameter of
400mm or less, made of any of the following materials:
a.
Copolymers of vinylidene fluoride having 75 % or more
beta crystalline structure without stretching;
b.
Fluorinated polyimides containing 10 % by weight or
more of combined fluorine;
c.
Fluorinated phosphazene elastomers containing 30 % by
weight or more of combined fluorine;
68
Related
item from
Annex I to
Regulation
(EC) No 42
8/2009
EN
IV.A1.004
d.
Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®);
e.
Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®);
f.
Polytetrafluoroethylene (PTFE).
Personal equipment for detecting radiation of nuclear origin,
including personal dosimeters.
Note:
1A004.c
This item does not cover nuclear detection systems
defined in item 1A004.c.
A2. Materials Processing
No
IV.A2.005
IV.A2.008
EN
Description
Related
item from
Annex I to
Regulation
(EC) No 42
8/2009
Controlled atmosphere heat treatment furnaces, as follows:
2B226
Furnaces capable of operation at temperatures above 400 °C.
2B227
Liquid-liquid contacting equipment (mixer-settlers, pulsed
columns, centrifugal contactors); and liquid distributors, vapour
distributors or liquid collectors designed for such equipment,
where all surfaces that come in direct contact with the
chemical(s) being processed are made from any of the following
materials:
1.
Alloys with more than 25 % nickel and 20 % chromium
by weight;
2.
Fluoropolymers;
3.
Glass (including vitrified or enamelled coating or glass
lining);
4.
Graphite or ‘carbon graphite’;
5.
Nickel or alloys with more than 40 % nickel by weight;
6.
Tantalum or tantalum alloys;
7.
Titanium or titanium alloys;
8.
Zirconium or zirconium alloys; or
69
2B350.e
EN
9.
Stainless steel.
Technical Note:
‘Carbon graphite’ is a composition consisting of amorphous
carbon and graphite, in which the graphite content is 8 % or
more by weight.
IV.A2.009
Industrial equipment and components, other than those specified
in 2B350.d, as follows:
2B350.d
Heat exchangers or condensers with a heat transfer surface area
greater than 0,05 m2, and less than 30 m2; and tubes, plates, coils
or blocks (cores) designed for such heat exchangers or
condensers, where all surfaces that come in direct contact with
the fluid(s) are made from any of the following materials:
1.
Alloys with more than 25 % nickel and 20 % chromium
by weight;
2.
Fluoropolymers;
3.
Glass (including vitrified or enamelled coating or glass
lining);
4.
Graphite or ‘carbon graphite’;
5.
Nickel or alloys with more than 40 % nickel by weight;
6.
Tantalum or tantalum alloys;
7.
Titanium or titanium alloys;
8.
Zirconium or zirconium alloys;
9.
Silicon carbide;
10.
Titanium carbide; or
11.
Stainless steel.
Note:
This item does not cover vehicle radiators.
Technical Notes:
1. The materials used for gaskets and seals and other
implementation of sealing functions do not determine the status
of control of the heat exchanger.
IV.A2.010
EN
Multiple-seal, and seal-less pumps, other than those specified in
70
2B350.d
EN
2B350.i, suitable for corrosive fluids, with manufacturer’s
specified maximum flow-rate greater than 0,6 m3/hour, or
vacuum pumps with manufacturer’s specified maximum flowrate greater than 5 m3/hour [measured under standard
temperature (273 K or 0 °C) and pressure (101,3kPa)
conditions]; and casings (pump bodies), preformed casing liners,
impellers, rotors or jet pump nozzles designed for such pumps, in
which all surfaces that come in direct contact with the
chemical(s) being processed are made from any of the following
materials:
1.
Alloys with more than 25 % nickel and 20 % chromium
by weight;
2.
Ceramics;
3.
Ferrosilicon;
4.
Fluoropolymers;
5.
Glass (including vitrified or enamelled coatings or glass
lining);
6.
Graphite or ‘carbon graphite’;
7.
Nickel or alloys with more than 40 % nickel by weight;
8.
Tantalum or tantalum alloys;
9.
Titanium or titanium alloys;
10.
Zirconium or zirconium alloys;
11.
Niobium (columbium) or niobium alloys;
12.
Stainless steel; or
13.
Aluminium alloys.
Technical Notes:
1. The materials used for gaskets and seals and other
implementation of sealing functions do not determine the status
of control of the pump.
A3. Electronics
No
EN
Description
71
Related
item from
EN
Annex I to
Regulation
(EC) No 42
8/2009
IV.A3.004
Spectrometers and diffractometers, designed for the indicative
test or quantitative analysis of the elemental composition of
metals or alloys without chemical decomposition of the material.
IV.B. TECHNOLOGY
No
IV.B.001
Description
Related item from
Annex I to
Regulation
(EC) No 428/2009
Technology required for the use of the items in Part IV
A. (Goods) above.
Technical Note:
The term ‘technology’ includes software.
EN
72
EN
ANNEX V
Web sites for information on the competent authorities referred to in Articles 3(5), 3(6),
5(3), 7, 10, 12, 13, 14, 17, 18, 19(1), 19(2), 21, 22, 23, 27, 30(1) and 35, and address for
notifications to the European Commission
BELGIUM
http://www.diplomatie.be/eusanctions
BULGARIA
http://www.mfa.government.bg
CZECH REPUBLIC
http://www.mfcr.cz/mezinarodnisankce
DENMARK
http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktio
ner/
GERMANY
http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.
html
ESTONIA
http://www.vm.ee/est/kat_622/
IRELAND
http://foreign-affairs.net/home/index.aspx?id=28519
GREECE
http://www.ypex.gov.gr/www.mfa.gr/enUS/Policy/Multilateral+Diplomacy/International+Sanctions/
SPAIN
http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_
%20Internacionales.aspx
FRANCE
http://www.diplomatie.gouv.fr/autorites-sanctions/
ITALY
http://www.esteri.it/UE/deroghe.html
EN
73
EN
CYPRUS
http://www.mfa.gov.cy/sanctions
LATVIA
http://www.mfa.gov.lv/en/security/4539
LITHUANIA
http://www.urm.lt
LUXEMBOURG
http://www.mae.lu/sanctions
HUNGARY
http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/
MALTA
http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp
NETHERLANDS
http://www.minbuza.nl/sancties
AUSTRIA
http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=
POLAND
http://www.msz.gov.pl
PORTUGAL
http://www.min-nestrangeiros.pt
ROMANIA
http://www.mae.ro/index.php?unde=doc&id=32311&idlnk=1&cat=3
SLOVENIA
http://www.mzz.gov.si/si/zunanja_politika/mednarodna_varnost/omejevalni_ukrepi/
SLOVAKIA
http://www.foreign.gov.sk
EN
74
EN
FINLAND
http://formin.finland.fi/kvyhteistyo/pakotteet
SWEDEN
http://www.ud.se/sanktioner
UNITED KINGDOM
www.fco.gov.uk/competentauthorities
Address for notifications to the European Commission:
European Commission
DG External Relations
Directorate A Crisis Platform — Policy Coordination in Common Foreign and Security
Policy (CFSP)
Unit A.2. Crisis Response and Peace Building
CHAR 12/106
B-1049 Bruxelles/Brussel (Belgium)
E-mail: relex-sanctions@ec.europa.eu
Tel.: (32-2) 295 55 85
Fax: (32-2) 299 08 73
Council controller for the purpose of Regulation (EC) No 45/2001:
[to be completed by Council]
EN
75
EN
Annex VI
List of key equipment used in the oil and gas industry referred to in Article 8
(To be completed in due time)
EN
76
EN
ANNEX VII
List of persons, entities and bodies referred to in Article 16(1)
A. Legal persons, entities and bodies
Name
1.
Abzar Boresh Kaveh Co.
(alias BK Co.)
2.
Amin Industrial Complex
(alias (a) Amin
IndustrialCompound, (b)
Amin Industrial Company)
3.
Ammunition and
Metallurgy Industries
Group
(alias (a) AMIG, (b)
Ammunition Industries
Group)
4.
Armament Industries
Group
EN
Identifying
information
Address: (a) P.O.
Box 91735-549,
Mashad, Iran;
(b) Amin Industrial
Estate, Khalage
Rd., Seyedi
District, Mashad,
Iran;
(c) Kaveh
Complex, Khalaj
Rd., Seyedi St.,
Mashad, Iran.
Address: (a) Sepah
Islam Road, Karaj
Special Road Km
10, Iran;
(b) Pasdaran Ave.,
P.O. Box
19585/777, Tehran,
Iran.
77
Reasons
Date of listing
Involved in the production
of centrifuge components.
Date of UN
designation:
3.3.2008
(a) Amin Industrial
Complex sought
temperature controllers
which may be used in
nuclear research and
operational/production
facilities;
(b) Amin Industrial
Complex is owned or
controlled by, or acts on
behalf of, the Defense
Industries Organization
(DIO), which was
designated in UN Security
Council Resolution 1737
(2006).
Date of UN
designation:
9.6.2010
(a) AMIG controls 7th of
Tir;
(b) AMIG is owned and
controlled by the Defence
Industries Organisation
(DIO).
Date of UN
designation:
4.3.2007
(a) Armament Industries
Group (AIG)
manufacturers and services
a variety of small arms and
light weapons, including
large- and medium-calibre
guns and related
technology;
(b) AIG conducts the
majority of its procurement
activity through Hadid
Industries Complex.
Date of EU
designation:
24.4.2007
(UN: 9.6.2010)
EN
5.
Atomic Energy
Organization of Iran
(AEOI)
Involved in Iran’s nuclear
programme.
Date of UN
designation:
23.12.2006
6.
Bank Sepah and Bank
Sepah International
Bank Sepah provides
support for the Aerospace
Industries Organisation
(AIO) and subordinates,
including Shahid Hemmat
Industrial Group (SHIG)
and Shahid Bagheri
Industrial Group (SBIG).
Date of UN
designation:
24.3.2007
7.
Barzagani Tejarat
Tavanmad Saccal
companies
(a) subsidiary of Saccal
System companies;
(b) this company tried to
purchase sensitive goods
for an entity listed in
resolution 1737 (2006).
Date of UN
designation:
3.3.2008
8.
Cruise Missile Industry
Group (alias Naval
Defence Missile Industry
Group)
9.
Defence Industries
Organisation (DIO)
10.
Defense Technology and
Science Research Center
EN
Date of UN
designation:
24.3.2007
Address: Pasdaran
Ave, PO Box
19585/777, Tehran,
Iran.
78
(a) Overarching
MODAFL-controlled
entity, some of whose
subordinates have been
involved in the centrifuge
programme making
components, and in the
missile programme;
(b) Involved in Iran’s
nuclear programme.
Date of UN
designation:
23.12.2006
Defense Technology and
Science Research Center
(DTSRC) is owned or
controlled by, or acts on
behalf of, Iran’s Ministry
of Defense and Armed
Forces Logistics
(MODAFL), which
oversees Iran’s defence
R&D, production,
maintenance, exports, and
procurement.
Date of EU
designation:
24.4.2007
(UN: 9.6.2010)
EN
11.
Doostan International
Company
Doostan International
Company (DICO) supplies
elements to Iran’s ballistic
missile program.
Date of UN
designation:
9.6.2010
12.
Electro Sanam Company
(alias (a) E. S. Co., (b) E.
X. Co.)
AIO front-company,
involved in the ballistic
missile programme.
Date of UN
designation:
3.3.2008
13.
Esfahan Nuclear Fuel
Research and Production
Centre (NFRPC) and
Esfahan Nuclear
Technology Centre
(ENTC)
They are parts of the
Atomic Energy
Organisation of Iran’s
(AEOI) Nuclear Fuel
Production and
Procurement Company.
Date of UN
designation:
24.3.2007
14.
Ettehad Technical Group
AIO front-company,
involved in the ballistic
missile programme.
Date of UN
designation:
3.3.2008
15.
Fajr Industrial Group
(a) Formerly
Instrumentation Factory
Plant;
(b) Subordinate entity of
AIO;
(c) Involved in Iran’s
ballistic missile
programme.
Date of UN
designation:
23.12.2006
16.
Farasakht Industries
Farasakht Industries is
owned or controlled by, or
acts on behalf of, the Iran
Aircraft Manufacturing
Company, which in turn is
owned or controlled by
MODAFL.
Date of UN
designation:
9.6.2010
17.
Farayand Technique
(a) Involved in Iran’s
nuclear programme
(centrifuge programme);
(b) Identified in IAEA
reports.
Date of UN
designation:
23.12.2006
18.
Fater (or Faater) Institute
(a) Khatam al-Anbiya
(KAA) subsidiary;
(b) Fater has worked with
foreign suppliers, likely on
behalf of other KAA
companies on IRGC
projects in Iran;
Date of UN
designation:
9.6.2010
EN
Address: P.O. Box
83145-311,
Kilometer 28,
Esfahan-Tehran
Freeway, Shahin
Shahr, Esfahan,
Iran.
79
EN
(c) Owned or controlled
by, or acting on behalf of,
the Islamic Revolutionary
Guard Corps.
19.
First East Export Bank,
P.L.C.
20.
Gharagahe Sazandegi
Ghaem
Owned or controlled by, or Date of UN
acting on behalf of, the
designation:
Islamic Revolutionary
9.6.2010
Guard Corps. Gharagahe
Sazandegi Ghaem is owned
or controlled by KAA (see
below).
21.
Ghorb Karbala
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Ghorb
Karbala is owned or
controlled by KAA (see
below).
Date of UN
designation:
9.6.2010
22.
Ghorb Nooh
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Ghorb Nooh
is owned or controlled by
KAA (see below).
Date of UN
designation:
9.6.2010
23.
Hara Company
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Owned or
controlled by Ghorb Nooh.
Date of UN
designation:
9.6.2010
24.
Imensazan Consultant
Owned or controlled by, or
acting on behalf of, the
Date of UN
designation:
EN
Address: Unit
Level 10 (B1),
Main Office Tower,
Financial Park
Labuan, Jalan
Merdeka, 87000
WP Labuan,
Malaysia.
80
(a) First East Export Bank, Date of UN
PLC is owned or controlled designation:
by, or acts on behalf of,
9.6.2010
Bank Mellat;
(b) Over the last seven
years, Bank Mellat has
facilitated hundreds of
millions of dollars in
transactions for Iranian
nuclear, missile, and
defense entities;
(c) Business Registration
Number LL06889
(Malaysia).
EN
Engineers Institute
Islamic Revolutionary
Guard Corps. Owned or
controlled by, or acts on
behalf of, KAA (see
below).
9.6.2010
25.
Industrial Factories of
Precision (IFP) Machinery
(alias Instrumentation
Factories Plant)
Used by AIO for some
acquisition attempts.
Date of UN
designation:
3.3.2008
26.
Irano Hind Shipping
Company
Address: (a) 18
Mehrshad Street,
Sadaghat Street,
Opposite of Park
Mellat, Vali-e-Asr
Ave., Tehran, Iran;
(b) 265, Next to
Mehrshad,
Sedaghat St.,
Opposite of Mellat
Park, Vali Asr
Ave., Tehran
1A001, Iran.
Owned or controlled by, or
acting on behalf of the
Islamic Republic of Iran
Shipping Lines.
Date of UN
designation:
9.6.2010
27.
IRISL Benelux NV
Address:
Noorderlaan 139,
B-2030, Antwerp,
Belgium.
V.A.T. Number
BE480224531
(Belgium).
Owned or controlled by, or
acting on behalf of the
Islamic Republic of Iran
Shipping Lines.
Date of UN
designation:
9.6.2010
28.
Jabber Ibn Hayan
AEOI laboratory involved
in fuel cycle acitivties.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
29.
Joza Industrial Co.
AIO front-company,
involved in the ballistic
missile programme.
Date of UN
designation:
3.3.2008
30.
Kala-Electric
(alias Kalaye Electric)
(a) Provider for PFEP —
Natanz;
(b) Involved in Iran’s
nuclear programme.
Date of UN
designation:
23.12.2006
31.
Karaj Nuclear Research
Centre
Part of AEOI’s research
division.
Date of UN
designation:
EN
81
EN
24.3.2007
32.
Kaveh Cutting Tools
Company
33.
Kaveh Cutting Tools
Company is owned or
controlled by, or acts on
behalf of, the DIO.
Date of UN
designation:
9.6.2010
Kavoshyar Company
Subsidiary company of
AEOI.
Date of UN
designation:
24.3.2007
34.
Khatam al-Anbiya
Construction Headquarters
Khatam al-Anbiya
Construction Headquarters
(KAA) is an Islamic
Revolutionary Guard
Corps (IRGC)-owned
company involved in large
scale civil and military
construction projects and
other engineering
activities. It undertakes a
significant amount of work
on Passive Defense
Organization projects. In
particular, KAA
subsidiaries were heavily
involved in the
construction of the uranium
enrichment site at
Qom/Fordow.
Date of EU
designation:
24.6.2008
(UN: 9.6.2010)
35.
Khorasan Metallurgy
Industries
(a) Subsidiary of the
Ammunition Industries
Group (AMIG) which
Date of UN
designation:
EN
Address:
(a) 3rd Km of
Khalaj Road,
Seyyedi Street,
Mashad 91638,
Iran;
(b) Km 4 of Khalaj
Road, End of
Seyedi Street,
Mashad, Iran;
(c) P.O. Box
91735-549,
Mashad, Iran;
(d) Khalaj Rd., End
of Seyyedi Alley,
Mashad, Iran;
(e) Moqan St.,
Pasdaran St.,
Pasdaran Cross Rd.,
Tehran, Iran.
82
EN
depends on DIO;
(b) involved in the
production of centrifuge
components.
36.
M. Babaie Industries
37.
Makin
38.
Malek Ashtar University
39.
Mesbah Energy Company
EN
Address: P.O. Box
16535-76, Tehran,
16548, Iran.
Address: Corner of
Imam Ali Highway
and Babaei
Highway, Tehran,
Iran.
83
3.3.2008
(a) M. Babaie Industries is Date of UN
subordinate to Shahid
designation:
Ahmad Kazemi Industries
9.6.2010.
Group (formally the Air
Defense Missile Industries
Group) of Iran’s Aerospace
Industries Organization
(AIO);
(b) AIO controls the
missile organizations
Shahid Hemmat Industrial
Group (SHIG) and the
Shahid Bakeri Industrial
Group (SBIG), both of
which were designated in
resolution 1737.
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Makin is
owned or controlled by or
acting on behalf of KAA,
and is a subsidiary of
KAA.
Date of UN
designation:
9.6.2010.
(a) a subordinate of the
DTRSC within MODAFL;
(b) this includes research
groups previously falling
under the Physics Research
Center (PHRC);
(c) IAEA inspectors have
not been allowed to
interview staff or see
documents under the
control of this organization
to resolve the outstanding
issue of the possible
military dimension to
Iran’s nuclear program.
Date of EU
designation:
24.6.2008
(UN: 9.6.2010)
(a) Provider for A40
research reactor — Arak;
Date of UN
designation:
EN
(b) Involved in Iran’s
nuclear programme.
23.12.2006
40.
Ministry of Defense
Logistics Export.
Address:
(a) PO Box 16315189, Tehran, Iran;
(b) located on the
west side of
Dabestan Street,
Abbas Abad
District, Tehran,
Iran.
Ministry of Defense
Logistics Export
(MODLEX) sells Iranianproduced arms to
customers around the
world in contravention of
UN Security Council
Resolution 1747 (2007),
which prohibits Iran from
selling arms or related
materiel.
Date of EU
designation:
24.6.2008
(UN: 9.6.2010)
41.
Mizan Machinery
Manufacturing (alias
3MG).
Address: O. Box
16595-365, Tehran,
Iran.
Mizan Machinery
Manufacturing (3M) is
owned or controlled by, or
acts on behalf of, SHIG.
Date of EU
designation:
24.6.2008
(UN: 9.6.2010)
42.
Modern Industries
Technique Company (alias
(a) Rahkar Company,(b)
Rahkar Industries, (c)
Rahkar Sanaye Company,
(d) Rahkar Sanaye Novin).
Address: Arak,
Iran.
(a) Modern Industries
Technique Company
(MITEC) is responsible for
design and construction of
the IR-40 heavy water
reactor in Arak;
(b) MITEC has
spearheaded procurement
for the construction of the
IR-40 heavy water reactor.
Date of UN
designation:
9.6.2010
43.
Niru Battery
Manufacturing Company
(a) subsidiary of the DIO;
(b) its role is to
manufacture power units
for the Iranian military
including missile systems.
Date of UN
designation:
3.3.2008
44.
Novin Energy Company
(alias Pars Novin)
It operates within AEOI.
Date of UN
designation:
24.3.2007
45.
Nuclear Research Center
for Agriculture and
Medicine (alias (a) Center
for Agricultural Research
and Nuclear Medicine, (b)
Karaji Agricultural and
Medical Research Center).
(a) the Nuclear Research
Center for Agriculture and
Medicine (NFRPC) is a
large research component
of the Atomic Energy
Organization of Iran
(AEOI), which was
designated in UN Security
Council Resolution 1737
Date of UN
designation:
9.6.2010
EN
Address: P.O. Box
31585-4395, Karaj,
Iran.
84
EN
(2006);
(b) the NFRPC is AEOI’s
center for the development
of nuclear fuel and is
involved in enrichmentrelated activities
46.
Omran Sahel
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Owned or
controlled by Ghorb Nooh.
Date of UN
designation:
9.6.2010
47.
Oriental Oil Kish
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Oriental Oil
Kish is owned or
controlled by or acting on
behalf of KAA.
Date of UN
designation:
9.6.2010
48.
Parchin Chemical
Industries
Branch of DIO
Date of UN
designation:
24.3.2007
49.
Pars Aviation Services
Company
Maintains aircraft
Date of UN
designation:
24.3.2007
50.
Pars Trash Company
(a) Involved in Iran’s
nuclear programme
(centrifuge programme);
(b) Identified in IAEA
reports
Date of UN
designation:
23.12.2006
51.
Pejman Industrial Services
Corporation
Pejman Industrial Services
Corporation is owned or
controlled by, or acts on
behalf of, SBIG
Date of UN
designation:
9.6.2010
52.
Pishgam (Pioneer) Energy
Industries
Has participated in
construction of the
Uranium Conversion
Facility at Esfahan
Date of UN
designation:
3.3.2008
53.
Qods Aeronautics
Industries
It produces unmanned
aerial vehicles (UAVs),
parachutes, paragliders,
paramotors, etc.
Date of UN
designation:
24.3.2007
54.
Rah Sahel
Owned or controlled by, or
Date of UN
EN
Address: P.O. Box
16785-195, Tehran,
Iran
85
EN
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Rah Sahel is
owned or controlled by or
acting on behalf of KAA.
designation:
9.6.2010
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Rahab is
owned or controlled by or
acting on behalf of KAA,
and is a subsidiary of
KAA.
Date of UN
designation:
9.6.2010
55.
Rahab Engineering
Institute
56.
Sabalan Company
57.
Sanam Industrial Group
Subordinate to AIO.
Date of UN
designation:
24.3.2007
58.
Safety Equipment
Procurement (SEP)
AIO front-company,
involved in the ballistic
missile programme.
Date of UN
designation:
3.3.2008
59.
Sahand Aluminum Parts
Industrial Company
(SAPICO)
SAPICO is a cover name
for SHIG.
Date of UN
designation:
9.6.2010
60.
Sahel Consultant Engineers
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Owned or
controlled by Ghorb Nooh.
Date of UN
designation:
9.6.2010
61.
Sepanir
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Sepanir is
owned or controlled by or
acting on behalf of KAA
Date of UN
designation:
9.6.2010
62.
Sepasad Engineering
Company
Owned or controlled by, or
acting on behalf of, the
Islamic Revolutionary
Guard Corps. Sepasad
Date of UN
designation:
9.6.2010
EN
Address:
Damavand Tehran
Highway, Tehran,
Iran.
Address:
Damavand Tehran
Highway, Tehran,
Iran.
86
Sabalan is a cover name for Date of UN
SHIG.
designation:
9.6.2010
EN
Engineering Company is
owned or controlled by or
acting on behalf of KAA.
63.
7th of Tir.
(a) Subordinate of DIO,
widely recognised as being
directly involved in Iran’s
nuclear programme;
(b) Involved in Iran’s
nuclear programme.
Date of UN
designation:
23.12.2006.
64.
Shahid Bagheri Industrial
Group (SBIG)
(a) Subordinate entity of
AIO;
(b) Involved in Iran’s
ballistic missile
programme.
Date of UN
designation:
23.12.2006.
65.
Shahid Hemmat Industrial
Group (SHIG)
(a) subordinate entity of
AIO;
(b) Involved in Iran’s
ballistic missile
programme.
Date of UN
designation:
23.12.2006.
66.
Shahid Karrazi Industries.
Shahid Karrazi Industries
is owned or controlled by,
or act on behalf of, SBIG.
Date of UN
designation:
9.6.2010
67.
Shahid Satarri Industries Address: Southeast
(alias Shahid Sattari Group Tehran, Iran.
Equipment Industries)
Shahid Sattari Industries is
owned or controlled by, or
acts on behalf of, SBIG.
Date of UN
designation:
9.6.2010
68.
Shahid Sayyade Shirazi
Industries
Shahid Sayyade Shirazi
Industries (SSSI) is owned
or controlled by, or acts on
behalf of, the DIO.
Date of UN
designation:
9.6.2010
69.
Sho’a’ Aviation
It produces microlights.
Date of UN
designation:
24.3.2007
70.
South Shipping Line Iran Address:
(SSL)
(a) Apt. No. 7, 3rd
Owned or controlled by, or
acting on behalf of, the
Date of UN
designation:
EN
Address: Tehran,
Iran.
Address: (a) Next
to Nirou Battery
Mfg. Co, Shahid
Babaii Expressway,
Nobonyad Square,
Tehran, Iran;
(b) Pasdaran St.,
P.O. Box 16765,
Tehran 1835, Iran,
(c) Babaei Highway
— Next to Niru
M.F.G, Tehran,
Iran.
87
EN
71.
Special Industries Group
72.
TAMAS Company
73.
Tiz Pars
74.
Ya Mahdi Industries Group
75.
Yazd Metallurgy Industries
(alias (a) Yazd
Ammunition
Manufacturing and
Metallurgy Industries, (b)
Directorate of Yazd
Ammunition and
Metallurgy Industries.)
EN
Floor, No. 2, 4th
Alley, Gandi Ave.,
Tehran, Iran;
(b) Qaem Magham
Farahani St.,
Tehran, Iran.
Islamic Republic of Iran
Shipping Lines.
9.6.2010
Address: Pasdaran
Avenue, PO Box
19585/777, Tehran,
Iran.
Special Industries Group
(SIG) is a subordinate of
DIO.
Date of EU
designation:
24.4.2007
(UN: 9.6.2010)
(a) involved in enrichmentrelated activities;
(b) TAMAS is an
overarching body, under
which four subsidiaries
have been established,
including one for uranium
extraction to concentration
and another in charge of
uranium processing,
enrichment and waste.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
Address:
Damavand Tehran
Highway, Tehran,
Iran.
Address:
(a) Pasdaran
Avenue, Next to
Telecommunication
Industry, Tehran
16588, Iran;
(b) Postal Box
89195/878, Yazd,
Iran, (c) P.O. Box
89195-678, Yazd,
Iran, (d) Km 5 of
88
(a) Tiz Pars is a cover
Date of UN
name for SHIG;
designation:
(b) Between April and July 9.6.2010
2007, Tiz Pars attempted to
procure a five axis laser
welding and cutting
machine, which could
make a material
contribution to Iran’s
missile program, on behalf
of SHIG.
Subordinate to AIO.
Date of UN
designation:
24.3.2007
Metallurgy Industries
(YMI) is a subordinate of
DIO.
Date of UN
designation:
9.6.2010
EN
Taft Road, Yazd,
Iran.
B. Natural persons
Name
Identifying
information
Reasons
Date of listing
1.
Fereidoun
ABBASI-DAVANI
Senior Ministry of Defence
and Armed Forces
Logistics (MODAFL)
scientist with links to the
Institute of Applied
Physics. Working closely
with Mohsen FakhrizadehMahabadi.
Date of UN
designation:
24.3.2007
2.
Dawood
AGHA-JANI
Function: Head of the
PFEP – Natanz.
Date of UN
designation:
23.12.2006
Person involved in Iran’s
nuclear programme.
3.
Ali Akbar AHMADIAN
Title: Vice Admiral.
Function: Chief of Iranian
Revolutionary Guard
Corps (IRGC) Joint Staff
Date of UN
designation:
24.3.2007
4.
Amir Moayyed ALAI
Involved in managing the
assembly and engineering
of centrifuges.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
5.
Behman ASGARPOUR
Function: Operational
Manager (Arak)
Date of UN
designation:
23.12.2006
Person involved in Iran’s
nuclear programme.
6.
Mohammad Fedai
ASHIANI
Involved in the production
of ammonium uranyl
carbonate and management
of the Natanz enrichment
complex.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
7.
Abbas Rezaee
ASHTIANI
A senior official at the
AEOI Office of
Exploration and Mining
Affairs.
Date of UN
designation:
3.3.2008
EN
89
EN
8.
Bahmanyar Morteza
BAHMANYAR
Function: Head of Finance
& Budget Dept, Aerospace
Industries Organisation
(AIO).Person involved in
Iran’s ballistic missile
programme.
Date of UN
designation:
23.12.2006
9.
Haleh BAKHTIAR
Involved in the production
of magnesium at a
concentration of 99.9 %.
Date of EU
designation:
24.4.2007
UN: 3.3.2008)
10.
Morteza BEHZAD
Involved in making
centrifuge components.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
11.
Ahmad Vahid
DASTJERDI
Function: Head of the
Aerospace Industries
Organisation (AIO).
Date of UN
designation:
23.12.2006
Person involved in Iran’s
ballistic missile
programme.
12.
Ahmad
DERAKHSHANDEH
13.
Mohammad ESLAMI
14.
Reza-Gholi ESMAELI
Function: Chairman and
Date of UN
Managing Director of Bank designation:
Sepah.
24.3.2007
Title: Dr.
Head of Defence Industries
Training and Research
Institute.
Date of UN
designation:
3.3.2008
Function: Head of Trade &
International Affairs Dept,
Aerospace Industries
Organisation (AIO).
Date of UN
designation:
23.12.2006
Person involved in Iran’s
ballistic missile
programme.
15.
Mohsen
FAKHRIZADEHMAHABADI
Senior MODAFL scientist
and former head of the
Physics Research Centre
(PHRC).
Date of UN
designation:
24.3.2007
16.
Mohammad HEJAZI
Title: Brigadier General.
Function: Commander of
Date of UN
designation:
EN
90
EN
Bassij resistance force.
24.3.2007
17.
Mohsen HOJATI
Function: Head of Fajr
Industrial Group.
Date of UN
designation:
24.3.2007
18.
Seyyed Hussein
HOSSEINI
AEOI official involved in
the heavy water research
reactor project at Arak.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
19.
M. Javad KARIMI
SABET
Head of Novin Energy
Company, which is
designated under resolution
1747 (2007).
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
20.
Mehrdada Akhlaghi
KETABACHI
Function: Head of Shahid
Bagheri Industrial Group
(SBIG).
Date of UN
designation:
24.3.2007
21.
Ali Hajinia LEILABADI
Function: Director General
of Mesbah Energy
Company.
Date of UN
designation:
23.12.2006
Person involved in Iran’s
nuclear programme.
22.
Naser MALEKI
Function: Head of Shahid
Hemmat Industrial Group
(SHIG).
Date of UN
designation:
24.3.2007
Naser Maleki is also a
MODAFL official
overseeing work on the
Shahab-3 ballistic missile
programme. The Shahab-3
is Iran’s long-range
ballistic missile currently
in service.
23.
Hamid-Reza
MOHAJERANI
Involved in production
management at the
Uranium Conversion
Facility (UCF) at Esfahan.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
24.
Jafar MOHAMMADI
Function: Technical
Adviser to the Atomic
Energy Organisation of
Iran (AEOI) (in charge of
Date of UN
designation:
23.12.2006
EN
91
EN
managing the production of
valves for centrifuges).
Person involved in Iran’s
nuclear programme.
25.
Ehsan MONAJEMI
Function: Construction
Project Manager, Natanz.
Person involved in Iran’s
nuclear programme.
Date of UN
designation:
23.12.2006
26.
Mohammad Reza
NAQDI
Former Deputy Chief of
Armed Forces General
Staff for Logistics and
Industrial Research/Head
of State Anti-Smuggling
Headquarters, engaged in
efforts to get round the
sanctions imposed by
resolutions 1737 (2006)
and 1747 (2007).
Date of UN
designation:
3.3.2008
27.
Houshang NOBARI
Involved in the
management of the Natanz
enrichment complex.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
28.
Mohammad Mehdi Nejad Title: Lt Gen.
NOURI
Function: Rector of Malek
Ashtar University of
Defence Technology. The
chemistry department of
Ashtar University of
Defence Technology is
affiliated to MODALF and
has conducted experiments
on beryllium. Person
involved in Iran’s nuclear
programme.
Date of UN
designation:
23.12.2006
29.
Mohammad QANNADI
Function: AEOI Vice
President for Research &
Development.Person
involved in Iran’s nuclear
programme.
Date of UN
designation:
23.12.2006
30.
Amir RAHIMI
Function: Head of Esfahan Date of UN
Nuclear Fuel Research and designation:
Production Center. Esfahan 24.3.2007
Nuclear Fuel Research and
Production Center is part
of the AEOI’s Nuclear
Fuel Production and
EN
Title: Brigadier
General.
92
EN
Procurement Company,
which is involved in
enrichment-related
activities.
31.
Javad RAHIQI
Date of birth:
24.4.1954.
Place of birth:
Marshad.
Function: Head of the
Atomic Energy
Organization of Iran
(AEOI) Esfahan Nuclear
Technology Center
Date of EU
designation:
24.4.2007
(UN: 9.6.2010)
Involved in enrichment
work at Natanz.
Date of EU
designation:
24.4.2007
(UN: 3.3.2008)
32.
Abbas RASHIDI
33
Morteza REZAIE
Title: Brigadier
General. Function:
Deputy
Commander of
IRGC.
34.
Morteza SAFARI
Title: Rear
Admiral.
Function: Commander of
IRGC Navy.
Date of UN
designation:
24.3.2007
35.
Yahya Rahim SAFAVI
Title: Maj Gen.
Function: Commander,
IRGC (Pasdaran). Person
involved in both Iran’s
nuclear and ballistic
missile programmes.
Date of UN
designation:
23.12.2006
36.
Seyed Jaber SAFDARI
Manager of the Natanz
Enrichment Facilities.
Date of UN
designation:
24.3.2007
37.
Hosein SALIMI
Title: General.
Function: Commander of
the Air Force, IRGC
(Pasdaran). Person
involved in Iran’s ballistic
missile programme.
Date of UN
designation:
23.12.2006
38.
Qasem SOLEIMANI
Title: Brigadier
General.
Function: Commander of
Qods force.
Date of UN
designation:
24.3.2007
39.
Ghasem SOLEYMANI
Director of Uranium
Mining Operations at the
Saghand Uranium Mine.
Date of UN
designation:
3.3.2008
40.
Mohammad Reza
Function: Commander of
Date of UN
EN
Title: Brigadier
93
Date of UN
designation:
24.3.2007
EN
ZAHEDI
41.
EN
General.
General ZOLQADR
94
IRGC Ground Forces.
designation:
24.3.2007
Function: Deputy Interior
Minister for Security
Affairs, IRGC officer.
Date of UN
designation:
24.3.2007
EN
ANNEX VIII
List of persons, entities and bodies referred to in Article 16(2)
A.
Natural persons
Name
1.
Reza
AGHAZADEH
Identifying information
Date of Birth: 15/03/1949
Place of birth: Khoy
Passport
number:
S4409483
valid
26/04/2000 – 27/04/2010
Issued:
Tehran,
Diplomatic
passport
number:
D9001950,
issued on 22/01/2008
valid until 21/01/2013,
EN
Reasons
Date of
listing
Former Head of the 23.4.2007
Atomic
Energy
Organisation of Iran
(AEOI). The AEOI
oversees Iran's nuclear
programme and is
designated
under
UNSCR 1737 (2006).
2.
IRGC BrigadierGeneral Javad
DARVISH-VAND
MODAFL Deputy for 24.6.2008
Inspection.
Responsible for all
MODAFL facilities
and installations
3
Ali DAVANDARI
Head of Bank Mellat
4.
Rear Admiral Ali
FADAVI
Commander of IRGC 26.7.2010
Navy
5.
Dr Hoseyn
(Hossein)
FAQIHIAN
26.7.2010
Address of NFPC:
Deputy and Director- 24.4.2007
General of the Nuclear
AEOI-NFPD, P.O.Box: Fuel Production and
11365-8486, Tehran / Iran Procurement
Company
(NFPC),
part of the AEOI. The
AEOI oversees Iran's
nuclear
programme
and is designated
under UNSCR 1737
(2006). The NFPC
involved
in
enrichment-related
activities that Iran is
required by the IAEA
Board and Security
Council to suspend.
95
EN
6.
Seyyed Mahdi
FARAHI
IRGC
Brigadier- 24.6.2008
General.
Managing
Director
of
the
Defence
Industries
Organisation
(DIO)
which is designated
under UNSCR 1737
(2006)
7.
Parviz FATAH
8.
Mojtaba HAERI
Engineer, MODAFL 24.6.2008
Deputy for Industry.
Supervisory role over
AIO and DIO
9.
Ali
HOSEYNITASH
IRGC
Brigadier- 24.6.2008
General. Head of the
General Department
of
the
Supreme
National
Security
Council and involved
in formulating policy
on the nuclear issue
10.
Mohammad Ali
JAFARI
Holds a command 24.6.2008
post at the IRGC
11.
Mahmood
JANNATIAN
Date of Birth: 1961
Date of Birth: 21/04/1946
Deputy Head of the 24.6.2008
Atomic
Energy
number: Organisation of Iran
Passport
T12838903
12.
13.
EN
Deputy Commander
of Khatam al Anbiya
Said Esmail
KHALILIPOUR
(a.k.a.:
LANGROUDI)
Date of Birth: 24/11/1945
Ali Reza
KHANCHI
Address of NRC:
Place of birth: Langroud
Deputy
Head
of 24.4.2007
AEOI. The AEOI
oversees Iran's nuclear
programme and is
designated
under
UNSCR 1737 (2006).
Head
of
AEOI's 24.4.2007
Tehran
Nuclear
AEOI-NRC
P.O.Box: Research Centre. The
11365-8486 Tehran/ Iran; IAEA is continuing to
Fax: (+9821) 8021412
seek clarification from
Iran about plutonium
separation
experiments
carried
out at the TNRC,
including about the
96
EN
presence of HEU
particles
in
environmental
samples taken at the
Karaj Waste Storage
Facility
where
containers used to
store
depleted
uranium targets used
in those experiments
are located. The AEOI
oversees Iran's nuclear
programme and is
designated
under
UNSCR 1737 (2006).
EN
14.
Fereydoun
MAHMOUDIAN
Date of Birth: 7.11.1943 Director of Fulmen 26.7.2010
Place of birth: Iran. (see Part B, No 11)
Passport no 05HK31387
issued on 1.1.2002 in Iran,
valid
until
7.8.2010
Granted
French
citizenship on 7.5.2008.
15.
Ebrahim
MAHMUDZADE
H
Managing Director of 24.6.2008
Iran
Electronic
Industries
16.
Brigadier-General
Beik
MOHAMMADLU
MODAFL Deputy for 24.6.2008
Supplies and Logistics
17.
Mohammad
MOKHBER
President of the Setad 26.72010
Ejraie foundation, an
investment
fund
linked
to
Ali
Khamenei,
the
supreme
leader.
Member of the board
of directors of Sina
Bank.
18.
Mohammad Reza
MOVASAGHNIA
Head of Samen Al 26.7.2010
A’Emmeh Industries
Group (SAIG) also
known as the Cruise
Missile
Industry
Group.
This
organisation
was
designated
under
UNSCR 1747 and
97
EN
listed in Annex IV to
Regulation (EC) No
423/2007.
EN
19.
Anis NACCACHE
Administrator
of 24.6.2008
Barzagani
Tejarat
Tavanmad
Saccal
companies;
his
company
has
attempted to procure
sensitive goods for
entities
designated
under Resolution 1737
(2006)
20.
Brigadier-General
Mohammad
NADERI
Head of Aerospace 24.6.2008
Industries
Organisation (AIO),
AIO has taken part in
sensitive
Iranian
programmes
21.
Mostafa
Mohammad
NAJJAR
IRGC
Brigadier- 24.6.2008
General. Minister for
the Interior and former
Minister
of
MODAFL,
responsible for all
military programmes,
including
ballistic
missiles programmes.
22.
Mohammad Reza
NAQDI
23.
Mohammad
PAKPUR
24.
Rostam QASEMI
(a.k.a. Rostam
GHASEMI)
25.
Hossein SALAMI
Brigadier
General, 26.7.2010
Deputy Commander
of IRGC
26.
Ali Akbar SALEHI
Head of the Atomic 17.11.2009
Energy Organisation
Date of birth: 1953
Brigadier
General, 26.7.2010
Commander of Basij
Place of birth: Nadjaf Resistance Force
(Iraq)
Brigadier
General, 26.7.2010
Commander of IRGC
Ground Forces
Date of birth: 1961
98
Commander
of 26.7.2010
Khatam al-Anbiya
EN
of Iran (AEOI). The
AEOI oversees Iran's
nuclear
programme
and is designated
under UNSCR 1737
(2006).
27.
Mohammad
SHAFI'I
RUDSARI
Rear
Admiral, 24.6.2008
MODAFL Deputy for
Coordination
28.
Ali SHAMSHIRI
IRGC
Brigadier- 24.6.2008
General.
MODAFL
Deputy for CounterIntelligence,
responsible
for
security of MODAFL
personnel
and
Installations
29.
Abdollah SOLAT
SANA
Managing Director of 24.4.2007
the
Uranium
Conversion Facility
(UCF) in Esfahan.
This is the facility that
produces the feed
material (UF6) for the
enrichment facilities
at Natanz. On 27
August 2006, Solat
Sana
received
a
special award from
President
Ahmadinejad for his
role
30.
Ahmad VAHIDI
IRGC
Brigadier- 24.6.2008
General. Minister of
the MODAFL and
former Deputy Head
of MODAFL
B.
Legal persons, entities and bodies
Name
1.
EN
Aerospace
Industries
Organisation,
Identifying
information
Reasons
Date of
listing
AIO, 28 Shian AIO oversees Iran's production of 23.4.2007
5,
Lavizan, missiles, including Shahid Hemmat
Industrial Group, Shahid Bagheri
99
EN
AIO
2.
Armed Forces
Geographical
Organisation
3.
Azarab
Industries
Ferdowsi Ave,
PO
Box
11365-171,
Tehran, Iran
4.
Bank
Mellat
(including all
branches) and
subsidiaries:
Head
Office
Building, 327
Takeghani
(Taleghani)
Avenue,
Tehran 15817,
Iran
5.
EN
Tehran
Industrial Group and Fajr Industrial
Group, which were all designated
under UNSCR 1737 (2006). The head
of AIO and two other senior officials
were also designated under UNSCR
1737 (2006)
Assessed to provide geospatial data 24.6.2008
for the Ballistic Missile programme
Energy sector firm that provides 26.7.2010
manufacturing support to the nuclear
programme, including designated
proliferation sensitive activities.
Involved in the construction of the
Arak heavy-water reactor.
Bank Mellat is a state-owned Iranian 26.7.2010
bank. Bank Mellat engages in a
pattern of conduct which supports and
facilitates Iran’s nuclear and ballistic
missile programmes. It has provided
banking services to UN and EU listed
entities or to entities acting on their
behalf or at their direction, or to
P.O.
Box entities owned or controlled by them.
11365-5964,
It is the parent bank of First East
Tehran 15817, Export Bank which is designated
Iran
under UNSCR 1929.
(a) Mellat Bank P.O. Box 24, 100 % owned by Bank Mellat
SB CJSC
Yerevan 0010,
Republic
of
Armenia
26.7.2010
(b)
Persia Number
6 60 % owned by Bank Mellat
International
Lothbury, Post
Bank Plc
Code: EC2R
7HH, United
Kingdom
26.7.2010
Bank Melli,
Bank Melli
Iran (including
all branches)
and
subsidiaries:
Ferdowsi
Avenue,
PO
Box
11365171, Tehran
Providing or attempting to provide 24.6.2008
financial support for companies
which are involved in or procure
goods for Iran's nuclear and missile
programmes (AIO, SHIG, SBIG,
AEOI, Novin Energy Company,
Mesbah Energy Company, Kalaye
Electric Company and DIO). Bank
Melli serves as a facilitator for Iran's
100
EN
sensitive activities. It has facilitated
numerous purchases of sensitive
materials for Iran's nuclear and
missile programmes. It has provided a
range of financial services on behalf
of entities linked to Iran's nuclear and
missile industries, including opening
letters of credit and maintaining
accounts. Many of the above
companies have been designated by
UNSCRs 1737 (2006) and 1747
(2007).
Bank Melli continues in this role, by
engaging in a pattern of conduct
which supports and facilitates Iran's
sensitive activities. Using its banking
relationships, it continues to provide
support for, and financial services to,
UN and EU listed entities in relation
to such activities. It also acts on
behalf of, and at the direction of such
entities, including Bank Sepah, often
operating through their subsidiaries
and associates.
(a) Arian Bank
(a.k.a. Aryan
Bank)
House 2, Street Arian Bank is a joint-venture between 26.7.2010
Number
13, Bank Melli and Bank Saderat.
Wazir Akbar
Khan, Kabul,
Afghanistan
(b) Assa
Corporation
ASSA CORP,
650 (or 500)
Fifth Avenue,
New
York,
USA;
Assa Corporation is a front company 26.7.2010
created and controlled by Bank Melli.
It was set up by Bank Melli to
channel money from the United
States to Iran.
Tax ID No.
1368932
(United States)
(c) Assa
Corporation
Ltd
EN
6
Britannia Assa Corporation Ltd is the parent 26.7.2010
Place,
Bath organization of Assa Corporation.
Street,
St Owned or controlled by Bank Melli
Helier
JE2
4SU,
Jersey
Channel
Islands
101
EN
(d) Bank
Kargoshaee
(a.k.a. Kargosai
Bank, a.k.a
Kargosa’i
Bank)
587
Bank Kargoshaee is owned by Bank 26.7.2010
Mohammadiye Melli.
Square,
Mowlavi St.,
Tehran 11986,
Iran
(e) Bank Melli
Iran Investment
Company
(BMIIC)
No.2,
Nader
Alley,
ValiAsr
Str.,
Tehran, Iran,
P.O.
Box
3898-15875;
Affiliated with entities sanctioned by 26.7.2010
the United States, the European
Union or or the United Nations since
2000. Designated by the United States
for being owned or controlled by
Bank Melli.
Alt. Location:
Bldg 2, Nader
Alley
after
Beheshi
Forked Road,
P.O.
Box
15875-3898,
Tehran, Iran
15116
Alt. Location:
Rafiee Alley,
Nader Alley, 2
After
Serahi
Shahid
Beheshti, Vali
E Asr Avenue,
Tehran, Iran
Business
Registration
Number:
89584.
(f) Bank Melli
Iran Zao
Number 9/1,
Ulitsa
Mashkova,
Moscow,
130064, Russia
24.6.2008
(g) Bank Melli
Printing And
Publishing
Company
(BMPPC)
18th Km Karaj Designated by the United States for 26.7.2010
Special Road, being owned or controlled by Bank
Tehran, Iran, Melli
P.O.
Box
37515-183;
Alt. Location:
EN
102
EN
Km 16 Karaj
Special Road,
Tehran, Iran;
Business
Registration
Number
382231
(h) Cement
Investment and
Development
Company
(CIDCO)
(a.k.a.: Cement
Industry
Investment and
Development
Company,
CIDCO,
CIDCO
Cement
Holding)
No.
241,
Mirdamad
Street, Tehran,
Iran
Wholly owned by Bank Melli 26.7.2010
Investment Co. Holding Company to
manage all cement companies owned
by BMIIC
(i) First Persian
Equity Fund
Walker House,
87
Mary
Street, George
Town, Grand
Cayman, KY19002, Cayman
Islands;
Cayman-based fund licensed by the 26.7.2010
Iranian Government for foreign
investment in the Tehran Stock
Exchange
Alt. Location:
Clifton House,
7z5
Fort
Street,
P.O.
Box
190,
Grand
Cayman, KY11104 Cayman
Islands;
Alt. Location:
Rafi
Alley,
Vali
Asr
Avenue, Nader
Alley, Tehran,
15116,
Iran,
P.O.Box
15875-3898
EN
103
EN
(j) Future Bank
BSC
Block
304,
City
Centre
Building,
Building 199,
Government
Avenue, Road
383, Manama,
Bahrain;
Bahrain-based joint-venture majority 26.7.2010
owned and controlled by Bank Melli
and Bank Saderat. Chairman of Bank
Melli was also chairman of Future
Bank
P.O. Box 785,
City
Centre
Building,
Government
Avenue,
Manama,
Bahrain, and
all
branches
worldwide;
Business
Registration
Document:
54514-1
(Bahrain)
expires 9 June
2009;
Trade License
No.:
13388
(Bahrain)
(k)
Mazandaran
Cement
Company
Africa Street, Tehran-based
cement
company 26.7.2010
Sattari Street majority-owned by CIDCO. Involved
No. 40, P.O. in large-scale construction projects
Box
121,
Tehran, Iran
19688;
Alt Location:
40 Satari Ave.
Afrigha
Highway, P.O.
Box
19688,
Tehran, Iran
(l) Mazandaran
Textile
Company
EN
Kendovan
Tehran-based
textile
company 26.7.2010
Alley 5, Vila majority-owned by BMIIC and Bank
Street,
Melli Investment Management Co.
Enghelab Ave,
P.O.
Box
104
EN
11365-9513,
Tehran, Iran
11318;
Alt. Location:
28 Candovan
Cooy
Enghelab
Ave., P.O. Box
11318, Tehran,
Iran;
Alt. Location:
Sari
Ave.,
Ghaemshahr,
Iran
(m) Mehr
Cayman Ltd.
Cayman
Islands;
Owned or controlled by Bank Melli
26.7.2010
(n) Melli
Agrochemical
Company PJS
(a.k.a: Melli
Shimi
Keshavarz)
Mola
Sadra Owned or controlled by Bank Melli
Street,
215
Khordad, Sadr
Alley No. 13,
Vanak
Sq.,
P.O.
Box
15875-1734,
Tehran, Iran
26.7.2010
(o) Melli Bank
plc
London Wall,
11th
floor,
London EC2Y
5EA, United
Kingdom
24.6.2008
(p) Melli
Investment
Holding
International
514 Business Owned or controlled by Bank Melli
Avenue
Building,
Deira,
P.O.
Box 181878,
Dubai, United
Arab Emirates;
26.7.2010
Commercial
Registry
Number
188926
(Cayman
Islands)
Registration
EN
105
EN
Certificate
Number
(Dubai) 0107
issued 30. Nov
2005.
(q) Shomal
Cement
Company
(a.k.a: Siman
Shomal)
Dr
Beheshti Owned or controlled by, or acts on 26.7.2010
Ave No. 289, behalf of DIO
Tehran, Iran
151446;
Alt. Location:
289
Shahid
Baheshti Ave.,
P.O.
Box
15146, Tehran,
Iran
6.
Bank Refah
40,
North
Shiraz Street,
Mollasadra
Ave., Vanak
Sq.,
Tehran,
Iran
Banque Refah took over Bank Melli’s 26.7.2010
outstanding transactions following the
sanctions imposed on the latter bank
by the European Union
7.
Bank Saderat
Iran (including
all branches)
and
subsidiaries
Bank Saderat
Tower,
43
Somayeh Ave,
Tehran, Iran.
Bank Saderat is an Iranian state- 26.7.2010
owned bank (94 %-owned by IRN
government). Bank Saderat has
provided financial services for entities
procuring on behalf of Iran’s nuclear
and ballistic missile programmes,
including entities designated under
UNSCR 1737. Bank Saderat handled
DIO (sanctioned in UNSCR 1737)
and Iran Electronics Industries
payments and letters of credit as
recently as March 2009. In 2003
Bank Saderat handled letter of credit
on behalf of IRN nuclear-related
Mesbah
Energy
Company
(subsequently sanctioned in UNSR
1737).
(a) Bank
Saderat PLC
(London)
5
Lothbury, 100 % owned subsidiary of Bank 26.7.2010
London, EC2R Saderat
7HD, UK
Banque Sina
187, Avenue This bank is closely linked to the 26.7.2010
Motahari,
interests of the "Daftar" (Leader’s
Teheran, Iran
office: administration composed of
around 500 officers). It thus
8.
EN
106
EN
contributes to the financing of the
regime’s strategic interests.
9.
ESNICO
(Equipment
Supplier for
Nuclear
Industries
Corporation)
No1,
37th
Avenue,
Asadabadi
Street, Tehran,
Iran
10.
Etemad Amin
Invest Co
Mobin
Pasadaran Av. Close to Naftar and to Bonyad-e 26.7.2010
Tehran, Iran
Mostazafan, Etemad Amin Invest Co
Mobin contributes to the financing of
the strategic interests of the regime
and of the Iranian parallel State.
11.
Export
Development
Bank of Iran
(EDBI)
(including all
branches) and
subsidiaries:
Export
Development
Building, Next
to the 15th
Alley,
Bokharest
Street,
Argentina
Square,
Tehran, Iran;
Tose’e Tower,
Corner of 15th
St.,
Ahmad
Qasir
Ave.,
Argentine
Square,
Tehran, Iran;
No. 129, 21 's
Khaled
Eslamboli, No.
1
Building,
Tehran, Iran;
C.R.
No.
86936 (Iran)
(a) EDBI
Exchange
EN
Procures industrial goods, specifically 26.7.2010
for the nuclear programme activities
carried out by AEOI, Novin Energy
and Kalaye Electric Company (all
designated under UNSCR 1737).
ESNICO’s Director is Haleh Bakhtiar
(designated in UNSCR 1803).
The Export Development Bank of 26.7.2010
Iran (EDBI) has been involved in the
provision of financial services to
companies connected to Iran’s
programmes of proliferation concern
and has helped UN-designated
entities to circumvent and breach
sanctions. It provides financial
services to MODAFL-subordinate
entities and to their front companies
which support Iran’s nuclear and
ballistic missile programmes. It has
continued to handle payments for
Bank Sepah, post-designation by the
UN, including payments related to
Iran’s nuclear and ballistic missile
programmes. EDBI has handled
transactions linked to Iran’s defence
and missile entities, many of which
have been sanctioned by UNSC.
EDBI
served
as
a
leading
intermediary handling Bank Sepah’s
(sanctioned by UNSC since 2007)
financing, including WMD-related
payments. EDBI provides financial
services to various MODAFL entities
and
has
facilitated
ongoing
procurement activities of front
companies associated with MODAFL
entities.
Tose’e Tower, Tehran-based
EDBI
Exchange 26.7.2010
Corner of 15th Company is 70 %- owned by Export
St.,
Ahmad Development Bank of Iran (EDBI). It
107
EN
Company
Qasir Ave.;
Argentine
Square,
Tehran, Iran
(b) EDBI Stock Tose’e Tower,
Brokerage
Corner of 15th
Company
St.,
Ahmad
Qasir Ave.;
Argentine
Square,
Tehran, Iran
EN
was designated by the United States
in October 2008 for being owned or
controlled by EDBI.
Tehran-based EDBI Stock Brokerage 26.7.2010
Company is a wholly owned
subsidiary of Export Development
Bank of Iran (EDBI). It was
designated by the United States in
October 2008 for being owned or
controlled by EDBI.
(c) Banco
Internacional
De Desarrollo
CA
Urb. El Rosal, Banco Internacional De Desarrollo 26.7.2010
Avenida
CA is owned by the Export
Francesco de Development Bank of Iran.
Miranda,
Edificio
Dozsa, Piso 8,
Caracas C.P.
1060,
Venezuela
12.
Fajr Aviation
Composite
Industries
Mehrabad
Airport,
PO
Box
13445885, Tehran,
Iran
A subsidiary of the IAIO within 26.7.2010
MODAFL (listed in the EU Common
Position 2007/140/CFSP), which
primarily
produces
composite
materials for the aircraft industry, but
also linked to the development of
carbon fibre capabilities for nuclear
and missile applications. Linked to
the Technology Cooperation Office.
Iran has recently announced its
intention to mass produce new
generation centrifuges which will
require FACI carbon fibre production
capabilities.
13.
Fulmen
167
Darya
boulevard
Shahrak
Ghods, 14669
- 8356 Tehran.
Fulmen was involved in the 26.7.2010
installation of electrical equipment on
the Qom/Fordoo site at a time when
the existence of the site had not yet
been revealed.
(a) Arya Niroo
Nik
Suite 5 - 11th Arya Niroo Nik is a shell company 26.7.2010
floor - Nahid used by Fulmen for some of its
Bldg,
operations.
Shahnazari
Street
–
108
EN
Mohseni
Square Tehran
EN
14.
Future Bank
BSC
Block
304.
City
Centre
Building.
Building 199,
Government
Avenue, Road
383, Manama,
Bahrain. PO
Box 785;
Two-thirds of Bahrain-based Future 26.7.2010
Bank are owned by Iranian state
banks. EU-designated Bank Melli and
Bank Saderat each own one-third of
the shares, the remaining third being
held by Ahli United Bank (AUB) of
Bahrain. Although AUB still owns its
shares of Future Bank, according to
its 2007 annual report, AUB no
longer exercises significant influence
Business
over the bank which is effectively
Registration
controlled by its Iranian parents both
2kDocument:
of which are singled out in UNSCR
54514-1
1803 as Iranian banks requiring
(Bahrain)
particular "vigilance". The tight links
expires 9 Jun between Future Bank and Iran are
2009;
further evidenced by the fact that the
Chairman of Bank Melli has also held
Trade License concurrently the position of Chairman
No
13388 of Future Bank.
(Bahrain)
15.
Industrial
Development
& Renovation
Organization
(IDRO)
Government body responsible for 26.7.2010
acceleration
of
Iran’s
industrialisation. Controls various
companies involved in work for the
nuclear and missile programmes and
involved in the foreign procurement
advanced manufacturing technology
in order to support them.
16.
Iran Aircraft
Industries
(IACI)
A subsidiary of the IAIO within 26.7.2010
MODAFL (listed in the EU Common
Position
2007/140/CFSP).
Manufactures, repairs, and conducts
overhauls of airplanes and aircraft
engines and procures aviation-related
parts often of US-origin typically via
foreign intermediaries. IACI and its
subsidiaries also have been detected
using a worldwide network of brokers
seeking to procure aviation-related
goods.
17
Iran Aircraft
Manufacturing
Company
(a.k.a: HESA,
P.O.
Box Owned or controlled by, or acts on 26.7.2010
83145-311, 28 behalf of MODAFL (listed in the EU
km Esfahan – Common Position 2007/140/CFSP)
Tehran
109
EN
HESA Trade
Center, HTC,
IAMCO,
IAMI, Iran
Aircraft
Manufacturing
Company, Iran
Aircraft
Manufacturing
Industries,
Karkhanejate
Sanaye
Havapaymaie
Iran, Hava
Peyma Sazi-e
Iran,
Havapeyma
Sazhran,
Havapeyma
Sazi Iran,
Hevapeimasazi
)
EN
18.
Iran Centrifuge
Technology
Company
(a.k.a. TSA or
TESA)
19.
Iran
Communicatio
ns Industries
(ICI)
Freeway,
Shahin Shahr,
Esfahan, Iran;
P.O.
Box
14155-5568,
No.
27
Ahahamat
Aave., Vallie
Asr
Square,
Tehran 15946,
Iran;
P.O.
Box
81465-935,
Esfahan, Iran;
Shahih
Shar
Industrial
Zone, Isfahan,
Iran;
P.O.
Box
8140, No. 107
Sepahbod
Gharany Ave.,
Tehran, Iran
TESA has taken over the activities of 26.7.2010
Farayand Technique (designated
under UNSCR 1737). It manufactures
uranium enrichment centrifuge parts,
and
is
directly
supporting
proliferation sensitive activity that
Iran is required to suspend by
UNSCRs. Carries out work for
Kalaye Electric Company (designated
under UNSCR 1737).
PO
Box
19295-4731,
Pasdaran
Avenue,
Tehran, Iran;
Iran Communications Industries, a 26.7.2010
subsidiary of Iran Electronics
Industries (listed in the EU Common
Position 2007/140/CFSP), produces
various
items
including
communication systems, avionics,
Alternative
optics and electro-optics devices,
address:
PO micro-electronics,
information
Box
19575- technology, test and measurement,
131,
34 telecommunication
security,
Apadana
electronic warfare, radar tube
Avenue,
manufacture and refurbishment, and
110
EN
Tehran, Iran;
Alternative
address:
Shahid
Langary Street,
Nobonyad
Square Ave,
Pasdaran,
Tehran
20.
EN
missile launchers. These items can be
used in programmes that are under
sanction per UNSCR 1737.
Iran
Electronics
Industries
(including all
branches) and
subsidiaries:
P. O. Box Wholly-owned
subsidiary
of 24.6.2008
18575-365,
MODAFL (and therefore a sisterTehran, Iran
organisation to AIO, AvIO and DIO).
Its role is to manufacture electronic
components for Iranian weapons
systems
(a) Isfahan
Optics
P.O.
Box Owned or controlled by, or acts on 26.7.2010
81465-117,
behalf of Iran Electronics Industries
Isfahan, Iran
(listed in the EU Common Position
2007/140/CFSP)
21.
Iran Insurance
Company
(a.k.a. Bimeh
Iran)
P.O.
Box
14155-6363,
107
Fatemi
Ave., Tehran,
Iran
Iran Insurance Company has insured 26.7.2010
the purchase of various items that can
be used in programs that are
sanctioned by UNSCR
1737.
Purchased items insured include
helicopter spare parts, electronics, and
computers with applications in
aircraft and missile navigation.
22.
Iranian
Aviation
Industries
Organization
(IAIO)
107 Sepahbod
Gharani
Avenue,
Tehran, Iran
A MODAFL (listed in the EU 26.7.2010
Common Position 2007/140/CFSP)
organisation responsible for planning
and managing Iran’s military aviation
industry
23.
IRGC Air
Force
Operates Iran's inventory of short and 24.6.2008
medium range ballistic missiles. The
head of the IRGC air force was
designated by UNSCR 1737 (2006)
24.
IRGC-Air
Force AlGhadir Missile
Command
The IRGC-Air Force Al-Ghadir 26.7.2010
Missile Command is a specific
element within the IRGC Air Force
that has been working with SBIG
(designated under UNSCR 1737) with
the FATEH 110, short range ballistic
missile as well as the Ashura medium
range ballistic missile. This command
111
EN
appears to be the entity that actually
has the operational control of the
missiles.
EN
25.
IRGC Qods
Force
Tehran, Iran
26.
Islamic
Republic of
Iran Shipping
Lines (IRISL)
(including all
branches) and
subsidiaries:
No.
37,
Aseman
Tower,
Sayyade
Shirazee
Square,
Pasdaran Ave.,
PO
Box
19395-1311.
Tehran. Iran;
Iran’s Islamic Revolutionary Guard 26.7.2010
Corps (IRGC) Qods Force is
responsible for operations outside
Iran and is Tehran’s principal foreign
policy tool for special operations and
support to terrorists and Islamic
militants abroad. Hizballah used Qods
Force-supplied rockets, anti-ship
cruise missiles (ASCMs), manportable
air
defense
systems
(MANPADS), and unmanned aerial
vehicles (UAVs) in the 2006 conflict
with Israel and benefited from Qods
Force training on these systems,
according
to
press
reporting.
According to a variety of reporting,
the Qods Force continues to re-supply
and train Hizballah on advanced
weaponry, anti-aircraft missiles, and
long-range rockets. The Qods Force
continues to provide limited lethal
support, training, and funding to
Taliban fighters in southern and
western Afghanistan including small
arms, ammunition, mortars, and
short-range
battlefield
rockets.
Commander has been sanctioned
under UNSCR
IRISL has been involved in the 26.7.2010
shipment of military-related cargo,
including proscribed cargo from Iran.
Three such incidents involved clear
violations that were reported to the
UN Security Council Iran Sanctions
Committee. IRISL’s connection to
proliferation was such that the UNSC
called on states to conduct inspections
of IRISL vessels, provided there are
reasonable grounds to believe that the
No. 37, Corner vessel is transporting proscribed
of
7th goods, in UNSCRs 1803 and 1929.
Narenjestan,
Sayad Shirazi
Square, After
Noboyand
Square,
112
EN
Pasdaran Ave.,
Tehran, Iran
(a) Bushehr
Shipping
Company
Limited
(Tehran)
143/1 Tower Owned or controlled by IRISL
Road Sliema,
Slm
1604,
Malta;
26.7.2010
c/o
Hafiz
Darya
Shipping
Company,
Ehteshamiyeh
Square
60,
Neyestani 7,
Pasdaran,
Tehran, Iran
(b) CISCO
Shipping
Company Ltd
(a.k.a IRISL
Korea Ltd)
Has offices in Acts on behalf of IRISL in South 26.7.2010
Seoul
and Korea
Busan, South
Korea.
(c) Hafize
Darya Shipping
Lines (HDSL)
(a.k.a HDS
Lines)
No.
60 Acts on behalf of IRISL performing 26.7.2010
Ehteshamiyeh container operations using vessels
Square,
7th owned by IRISL.
Neyestan
Street,
Pasdaran
Avenue,
Tehran, Iran;
Alternative
Address: Third
Floor
of
IRISL’s
Aseman Tower
(d) Hanseatic
Trade Trust &
Shipping
(HTTS)
GmbH;
HTTS GmbH
(e) Irano Misr
EN
Schottweg
22087
Hamburg,
Germany;
7, Acts on behalf of HDSL in Europe.
26.7.2010
Opp 7th Alley,
Zarafshan St,
Eivanak
St,
Qods
Township
No
41,
3rd Acts on behalf of IRISL, along the 26.7.2010
113
EN
Shipping
Company
Floor, Corner Suez Canal and in Alexandria and
of 6th Alley, Port Said. 51 %-owned by IRISL.
Sunaei Street,
Karim Khan
Zand
Ave,
Tehran;
265, Next to
Mehrshad,
Sedaghat St.,
Opposite
of
Mellat Park,
Vali Asr Ave.,
Tehran 1A001,
Iran;
18 Mehrshad
Street,
Sadaghat St.,
Opposite
of
Mellat Park,
Vali Asr Ave.,
Tehran 1A001,
Iran
(f) Irinvestship
Ltd
Global House,
61
Petty
France,
London SW1H
9EU, United
Kingdom;
Owned by IRISL. Provides financial, 26.7.2010
legal, and insurance services for
IRISL as well as marketing,
chartering, and crew management.
Business
Registration
Document
#
4110179
(United
Kingdom)
(g) IRISL
(Malta) Ltd
Flat 1, 181
Tower Road,
Sliema SLM
1605, Malta
Acts on behalf of IRISL in Malta. A 26.7.2010
joint venture with German and
Maltese shareholding. IRISL has been
using the Malta route since 2004 and
uses Freeport as a trans-shipment hub
between the Persian Gulf and Europe.
(h) IRISL (UK) Abbey
Rd., 50 % owned by Irinvestship Ltd and 26.7.2010
Ltd (Barking,
Baring, Essex 50 % by British Company Johnson
Felixstowe)
IG11 7 AX, Stevens Agencies Ltd. Provides
United
coverage of a cargo and container
service between Europe and the
EN
114
EN
Kingdom;
Middle East and also two separate
services between the Far East and the
IRISL
(UK) Middle East
Ltd., Walton
Ave.,
Felixstowe,
Suffolk, IP11
3HG, United
Kingdom
Business
Registration
Document
#
4765305 2
(i) IRISL Club
No
60 Owned by IRISL.
Ehteshamiyeh
Square,
7th
Neyestan
Street,
Pasdaran
Avenue,
Tehran
26.7.2010
(j) IRISL
Europe GmbH
(Hamburg)
Schottweg 5, IRISL’s agent in Germany.
22087
Hamburg,
Germany
V.A.T.
Number
DE217283818
(Germany)
26.7.2010
(k) IRISL
Marine
Services and
Engineering
Company
Sarbandar Gas
Station
PO
Box
199,
Bandar Imam
Khomeini,
Iran;
Karim Khan
Zand Ave, Iran
Shahr Shomai,
No
221,
Tehran, Iran;
No
221,
Northern
Iranshahr
Street, Karim
Khan
Ave,
EN
Owned by IRISL. Provides fuel, 26.7.2010
bunkers, water, paint, lubricating oil
and chemicals required by IRISL’s
vessels. The company also provides
maintenance supervision of ships as
well as facilities and services for the
crew members. IRISL subsidiaries
have used US dollar-denominated
bank accounts registered under covernames in Europe and the Middle East
to facilitate routine fund transfers.
IRISL has facilitated repeated
violations of provisions of UNSCR
1747.
115
EN
Tehran, Iran
(l) IRISL
Multimodal
Transport
Company
No 25, Shahid
Arabi
Line,
Sanaei
St,
Karim Khan
Zand Zand St
Tehran. Iran
(m) IRITAL
Shipping SRL
Ponte
Francesco
Morosini 59,
16126 Genova
(GE), Italy
Owned by IRISL. Responsible for the 26.7.2010
transporting of cargo by rail. It is a
wholly controlled subsidiary of
IRISL.
Point of contact for ECL and PCL 26.7.2010
services. Used by the DIO subsidiary
Marine Industries Group (MIG; now
known
as
Marine
Industries
Organization, MIO)
which is
responsible for the design and
Commercial
construction of various marine
Registry
structures and both military and non Number: GE military vessels. DIO was designated
426505 (Italy); under UNSCR 1737.
Italian Fiscal
Code:
03329300101
(Italy);
V.A.T.
Number:
12869140157
(Italy)
(n) ISI
Maritime
Limited
(Malta)
147/1 St. Lucia Owned or controlled by IRISL
Street, Valetta,
Vlt
1185,
Malta;
26.7.2010
c/o IranoHind
Shipping Co.
Ltd., Mehrshad
Street, PO Box
15875, Tehran,
Iran
(o) Khazer
Shipping Lines
(Bandar
Anzali)
EN
No. 1: End of
Shahid
Mostafa
Khomeini St.,
Tohid Square,
O.O.
Box
43145, Bandar
Anzali 1711324, Iran;
100 % owned subsidiary of IRISL. 26.7.2010
Total fleet of six vessels. Operates in
the Caspian Sea. Has facilitated
shipments involving UN- and USdesignated entities, such as Bank
Mellli, by shipping cargo of
proliferation concern from countries
like Russia and Kazakhstan to Iran.
116
EN
M. Khomeini
St., Ghazian,
Bandar Anzali,
Gilan, Iran
(p) Leadmarine
(a.k.a. Asia
Marine
Network Pte
Ltd aka IRISL
Asia Pte Ltd)
200
Middle
Road #14-01
Prime Centre
Singapore
188980
(alt.
199090)
Leadmarine, acts on behalf of HDSL 26.7.2010
in Singapore. Previously known as
Asia Marine Network Pte Ltd and
IRISL Asia Pte Ltd, and acted on
behalf of IRISL in Singapore.
(q) Marble
Shipping
Limited
(Malta)
143/1 Tower Owned or controlled by IRISL.
Road, Sliema,
Slm
1604,
Malta
(r) Oasis
Freight
Agencies
(a.k.a. Pacific
Shipping
Company
Al
Meena
Street,
Opposite
Dubai Ports &
Customs, 2nd
Floor, Sharaf
Building,
Dubai UAE;
26.7.2010
A joint venture company between 26.7.2010
IRISL and the UAE-based firm Sharif
Shipping Company. Acts on behalf of
IRISL in the UAE providing fuel and
stores, equipment, spare parts, and
ship repairs. Now known as Pacific
Shipping Company who act on behalf
of HDSL.
Sharaf
Building, 1st
Floor,
Al
Mankhool St.,
Bur
Dubai,
P.O.
Box
5562, Dubai,
United Arab
Emirates;
Sharaf
Building, No.
4, 2nd Floor,
Al
Meena
Road,
Opposite
Customs,
Dubai, United
Arab Emirates,
Kayed
Ahli
Building,
Jamal Abdul
Nasser Road
(Parallel to Al
EN
117
EN
Wahda
St.),
P.O.
Box
4840, Sharjah,
United Arab
Emirates
(s) Safiran
Payam Darya
Shipping Lines
(SAPID)
33
Eigth Acts on behalf of IRISL performing 26.7.2010
Narenjestan,
bulk services
Artesh Street,
PO
Box
19635-1116,
Tehran, Iran;
Alternative
Address: Third
Floor
of
IRISL’s
Aseman Tower
(t) Santexlines
(a.k.a. IRISL
China Shipping
Company Ltd,
a.k.a. Yi Hang
Shipping
Company)
Suite
1501,
Shanghai
Zhongrong
Plaza,
1088,
Pudong(S)
road, Shanghai
200122,
Shanghai,
China
Alternative
Address:
F23A-D,
Times
Plaza
No. 1, Taizi
Road, Shekou,
Shenzhen
518067, China
Santexlines act on behalf of HDSL. 26.7.2010
Previously known as IRISL China
shipping Company, it acted on behalf
of IRISL in China.
(u) Shipping
Computer
Services
Company
(SCSCOL)
No
37 Owned or controlled by, or acts on 26.7.2010
Asseman
behalf of IRISL
Shahid Sayyad
Shirazee sq.,
Pasdaran ave.,
P.O.
Box
1587553 1351,
Tehran, Iran;
No 13, 1st
Floor, Abgan
Alley,
Aban
ave.,
Karimkhan
EN
118
EN
Zand
Blvd,
Tehran 15976,
Iran.
(v) Soroush
Saramin Asatir
(SSA)
No 14 (alt. 5)
Shabnam
Alley,
Fajr
Street, Shahid
Motahhari
Avenue,
PO
Box 1963651114, Tehran
Iran
(w) South Way
Shipping
Agency Co Ltd
No.
101, Controlled by IRISL and acts for 26.7.2010
Shabnam
IRISL in Iranian ports overseeing
Alley, Ghaem such tasks as loading and unloading.
Magham
Street, Tehran,
Iran
(x) Valfajr 8th
Shipping Line
Co. (a.k.a.
Valfajr)
Abyar
Corner
Shahid
St. &
Khan
Ave.
Iran;
Alley,
of
Azodi
Karim
Zand
Tehran,
Shahid Azodi
St.
Karim
Khan
Zand
Zand
Ave.,
Abiar Alley.
PO Box 4155,
Tehran, Iran
27.
EN
Islamic
Revolutionary
Guard Corps
(IRGC)
Tehran, Iran
Acts on behalf of IRISL. A Tehran- 26.7.2010
based ship management company acts
as technical manager for many of
SAPID’s vessels
A 100 % owned subsidiary of IRISL. 26.7.2010
It conducts transfers between Iran and
the Gulf States such as Kuwait, Qatar,
Bahrain, UAE, and Saudi Arabia.
Valfajr is a Dubai-based subsidiary of
Islamic Republic of Iran Shipping
Lines (IRISL) that provides ferry and
feeder services, and sometimes
couriers freight and passengers across
the Persian Gulf. Valfajr in Dubai
booked ship crews, booked supply
vessel services, prepared ships for
arrival and departure and for loading
and unloading in port. Valfajr has
port calls in the Persian Gulf and
India. As of mid-June 2009, Valfajr
shared the same building with IRISL
in Port Rashid in Dubai, United Arab
Emirates (UAE), and also shared the
same building with IRISL in Tehran,
Iran.
Responsible for Iran’s nuclear 26.7.2010
programme. Has operational control
for
Iran’s
ballistic
missile
programme.
Has
undertaken
procurement attempts for to support
Irans ballistic missiles and nuclear
programmes
119
EN
28.
Javedan Mehr
Toos
29.
Kala Naft
Engineering firm that procures for the 26.7.2010
Atomic Energy Organisation of Iran
which was designated under UNSCR
1737
Kala
Naft
Tehran
Co,
P.O.
Box
15815/1775,
Gharani
Avenue,
Tehran, Iran;
Trades equipment for oil and gas 26.7.2010
sector that can be used for Iran’s
nuclear program. Attempted to
procure material (very hard-wearing
alloy gates) which have no use
outside the nuclear industry. Has links
to companies involved in Iran’s
nuclear program.
No 242 Shahid
Kalantri Street
- Near Karim
Khan Bridge Sepahbod
Gharani
Avenue,
Teheran;
Kish
Free
Zone,
Trade
Center, Kish
Island, Iran;
Kala
Ltd.,
NIOC House,
4
Victoria
Street, London
Sw1H1
EN
30.
Machine Sazi
Arak
4th km Tehran Energy sector firm affiliated with 26.7.2010
Road, PO Box IDRO that provides manufacturing
148, Arak, Iran support to the nuclear programme,
including designated proliferation
sensitive activities. Involved in the
construction of the Arak heavy-water
reactor. UK distributed an export
denial notice in July 2009 against
Machine Sazi Arak for an "alumina
graphite stopper rod." In May 2009
Sweden denied the export to Machine
Sazi Arak of "cladding of dish ends
for pressure vessels".
31.
Marine
Industries
Pasdaran Av., A subsidiary of the DIO
PO
Box
19585/
777,
120
24.4.2007
EN
Tehran
EN
32.
MASNA
(Moierat
Saakht
Niroogahye
Atomi Iran)
Managing
Company for
the
Construction of
Nuclear Power
Plants
Subordinate to AEOI and Novin 26.7.2010
Energy (both designated under
UNSCR 1737). Involved in the
development of nuclear reactors.
33.
Mechanic
Industries
Group
Took part in the production of 24.6.2008
components
for
the
ballistics
programme
34.
Ministry of
Defence and
Armed Forces
Logistics
(MODAFL)
35
Naserin Vahid
36.
Nuclear Fuel
Production and
Procurement
Company
(NFPC)
37.
Parchin
Chemical
Industries
38.
Parto Sanat Co
West side of
Dabestan
Street, Abbas
Abad District,
Tehran
Responsible for Iran's defence 24.6.2008
research,
development
and
manufacturing
programmes,
including support to missile and
nuclear programmes
Naserin Vahid produces weapons 26.7.2010
parts on behalf of the IRGC. An
IRGC front company.
AEOI-NFPD,
P.O.Box:
11365-8486,
Tehran / Iran
Nuclear Fuel Production Division 24.4.2007
(NFPD) of AEOI is research and
development in the field of nuclear
fuel cycle including: uranium
exploration,
mining,
milling,
conversion and nuclear waste
management. The NFPC is the
successor to the NFPD, the subsidiary
company under the AEOI that runs
research and development in the
nuclear
fuel
cycle
including
conversion and enrichment
Worked on propulsion techniques for 24.6.2008
the Iranian ballistics programme
No.
1281
Valiasr Ave.,
Next to 14th
St.,
Tehran,
Iran.
Manufacturer of frequency changers 26.7.2010
and
it
is
capable
of
developing/modifying
imported
foreign frequency changers in a way
that makes them usable in gas
centrifuge enrichment. It is deemed to
121
EN
be involved in nuclear proliferation
activities.
EN
39.
Passive
Defense
Organization
Responsible for the selection and 26.7.2010
construction of strategic facilities,
including – according to Iranian
statements - the uranium enrichment
site at Fordow (Qom) built without
being declared to the IAEA contrary
to Iran’s obligations (affirmed in a
resolution by the IAEA Board of
Governors).
Brigadier
General
Gholam-Reza Jalali, former IRGC is
PDO’s chairman.
40.
Post Bank
41.
Raka
A department of Kalaye Electric 26.7.2010
Company (designated under UNSCR
1737). Established in late 2006, it was
responsible for the construction of the
Uranium
enrichment
plant
at
Fordow(Qom).
42.
Research
Institute of
Nuclear
Science &
Technology
(a.k.a. Nuclear
Science &
Technology
Research
Subordinate to the AEOI and 26.7.2010
continuing the work of its former
Research Division. Its managing
director is AEOI Vice President
Mohammad Ghannadi (designated in
UNSCR 1737).
237, Motahari
Ave., Tehran,
Iran
1587618118
Post Bank has evolved from being an 26.7.2010
Iranian domestic bank to a bank
which facilitates Iran’s international
trade. Acts on behalf of Bank Sepah
(designated under UNSCR 1747),
carrying
out
Bank
Sepah’s
transactions and hiding Bank Sepah’s
connection with transactions in order
to circumvent sanctions. In 2009 Post
Bank facilitated business on behalf of
Bank Sepah between Iran’s defence
industries and overseas beneficiaries.
Has facilitated business with front
company for DPRK’s Tranchon
Commercial Bank, known for
facilitating
proliferation-relatedrelated business between Iran and the
DPRK.
122
EN
Institute)
EN
43.
Schiller Novin
Gheytariyeh
Acting on behalf of Defense 26.7.2010
Avenue
- Industries Organisation (DIO).
no153 - 3rd
Floor - PO
BOX
17665/153 6
19389 Teheran
44.
Sepanir Oil and
Gas Energy
Engineering
Company
(a.k.a. Sepah
Nir)
A subsidiary of Khatam al-Anbya 26.7.2010
Construction Headquarters which was
designated under UNSCR 1929.
Sepanir Oil and Gas Engineering
Company is participating in Iran’s
South Pars offshore Phase 15-16 gas
field development project.
45.
Shahid Ahmad
Kazemi
Industrial
Group
SAKIG develops and produces 26.7.2010
surface-to-air missiles systems for
Iran’s military. It maintains military,
missile, and air defense projects and
procures goods from Russia, Belarus,
and North Korea.
46.
Shakhese
Behbud Sanat
Involved in the production of 26.7.2010
equipment and parts for the nuclear
fuel cycle.
47.
State
Purchasing
Organisation
(SPO)
The SPO appears to facilitate the 24.6.2008
import of whole weapons. It appears
to be a subsidiary of MODAFL
48.
Technology
Cooperation
Office (TCO)
of the Iranian
President’s
Office
49.
Yasa Part,
(including all
branches) and
subsidiaries:
Company dealing with procurement 26.7.2010
activities related to the purchase of
materials and technologies necessary
to nuclear and ballistic programmes.
(a) Arfa Paint
Company
Acting on behalf of Yasa Part.
26.7.2010
(b) Arfeh
Company
Acting on behalf of Yasa Part.
26.7.2010
Tehran, Iran
Responsible for Iran’s technological 26.7.2010
advancement through relevant foreign
procurement and training links.
Supports the nuclear and missile
programmes.
123
EN
EN
(c) Farasepehr
Engineering
Company
Acting on behalf of Yasa Part.
26.7.2010
(d) Hosseini
Nejad Trading
Co.
Acting on behalf of Yasa Part.
26.7.2010
(e) Iran Saffron
Company or
Iransaffron Co.
Acting on behalf of Yasa Part.
26.7.2010
(f) Shetab G.
Acting on behalf of Yasa Part.
26.7.2010
(g) Shetab
Gaman
Acting on behalf of Yasa Part.
26.7.2010
(h) Shetab
Trading
Acting on behalf of Yasa Part.
26.7.2010
(i) Y.A.S. Co.
Ltd
Acting on behalf of Yasa Part.
26.7.2010
124
EN
ANNEX IX
List of credit and financial institutions referred to in Article 22, 23(2), 24 and 25(a)22
A.
Branches and subsidiaries falling within the scope of Article 36, of credit and
financial institutions domiciled in Iran23
1.
BANK MELLI IRAN*
France
43 Avenue Montaigne, 75008 Paris
BIC: MELIFRPP
Germany
Holzbrücke 2, D-20459, Hamburg
BIC: MELIDEHH
United Kingdom
Melli Bank plc
One London Wall, 11th Floor, London EC2Y 5EA
BIC: MELIGB2L
2.
BANK SEPAH*
France
64 rue de Miromesnil, 75008 Paris
BIC: SEPBFRPP
Germany
Hafenstraße 54, D-60327 Frankfurt am Main
BIC: SEPBDEFF
Italy
Via Barberini 50, 00187 Rome
BIC: SEPBITR1
22
Entities marked * are also subject to asset freezing within the meaning of Article 16.
23
EN
125
EN
United Kingdom
Bank Sepah International plc
5/7 Eastcheap, London EC3M 1JT
BIC: SEPBGB2L
3.
BANK SADERAT IRAN*
France
Bank Saderat Iran
16 Rue de la Paix, 75002 Paris
BIC: BSIRFRPP
TELEX: 220287 SADER A / SADER B
Germany
Hamburg Branch
P.O. Box 112227, Deichstraße 11, D-20459 Hamburg
BIC: BSIRDEHH
TELEX: 215175 SADBK D
Frankfurt Branch
P.O. Box 160151, Friedensstraße 4, D-60311 Frankfurt am Main
BIC: BSIRDEFF
Greece
Athens Branch
PO Box 4308, 25-29 Venizelou St, GR 105 64 Athens
BIC: BSIRGRAA
TELEX: 218385 SABK GR
United Kingdom
Bank Saderat plc
5 Lothbury, London EC2R 7HD
BIC: BSPLGB2L
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TELEX: 883382 SADER G
4.
BANK TEJARAT
France
Bank Tejarat
124-126 Rue de Provence, 75008 Paris
BIC: BTEJFRPP
TELEX: 281972 F, 281973 F BKTEJ
5.
PERSIA INTERNATIONAL BANK plc*
United Kingdom
Head Office and Main Branch
6 Lothbury, London EC2R 7HH
BIC: PIBPGB2L
TELEX: 885426
B.
Branches and subsidiaries not falling within the scope of Article 36, of credit
and financial institutions domiciled in Iran and credit and financial institutions
that are neither domiciled in Iran nor come within the scope of Article 36 but
are controlled by persons and entities domiciled in Iran
1.
BANK MELLI*
Azerbaijan
Bank Melli Iran Baku Branch
Nobel Ave. 14, Baku
BIC: MELIAZ22
Iraq
No.111-27 Alley – 929 District – Arasat Street, Baghdad
BIC: MELIIQBA
Oman
Oman Muscat Branch
P.O. Box 5643, Mossa Abdul Rehman Hassan Building, 238 Al Burj St., Ruwi,
Muscat, Oman 8 /
EN
127
EN
P.O. BOX 2643 PC 112
BIC: MELIOMR
China
Melli Bank HK (branch of Melli Bank PLC)
Unit 1703-04, Hong Kong Club Building, 3A Chater Road, Central Hong Kong
BIC: MELIHKHH
Egypt
Representative Office
P.O. Box 2654, First Floor, Flat No 1, Al Sad el Aaly Dokhi.
Tel.: 2700605 / Fax: 92633
United Arab Emirates
Regional Office
P.O. Box: 1894, Dubai
BIC: MELIAEAD
Abu Dhabi branch
Post box No 2656 Street name: Hamdan Street
BIC: MELIAEADADH
Al Ain branch
Post box No 1888 Street name: Clock Tower, Industrial Road
BIC: MELIAEADALN
Bur Dubai branch
Post box No 3093 Street name: Khalid Bin Waleed Street
BIC: MELIAEADBR2
Dubai Main branch
Post box No 1894 Street name: Beniyas Street
BIC: MELIAEAD
Fujairah branch
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EN
Post box No 248 Street name: Al Marash R/A, Hamad Bin Abdullah Street
BIC: MELIAEADFUJ
Ras al-Khaimah branch
Post box No 5270 Street name: Oman Street, Al Nakheel
BIC: MELIAEADRAK
Sharjah branch
Post box No 459 Street name: Al Burj Street
BIC: MELIAEADSHJ
Russian Federation
No 9/1 ul. Mashkova, 103064 Moscow
BIC: MELIRUMM
Japan
Representative Office
333 New Tokyo Bldg, 3-1 Marunouchi, 3 Chome, Chiyoda-ku.
Tel.: 332162631. Fax (3)32162638. TELEX: J296687
2.
BANK MELLAT*
South Korea
Bank Mellat Seoul Branch
Keumkang Tower 13/14th Floor, Tehran road 889-13, Daechi-dong Gangnam-Ku,
135 280, Seoul
BIC: BKMTKRSE
TELEX: K36019 MELLAT
Turkey
Istanbul Branch
1 Binbircicek Sokak, Buyukdere Caddessi Levent -Istanbul
BIC: BKMTTRIS
TELEX: 26023 MELT TR
Ankara Branch
EN
129
EN
Ziya Gokalp Bulvari No: 12 06425 Kizilay-Ankara
BIC: BKMTTRIS100
TELEX: 46915 BMEL TR
Izmir Branch
Cumhuriyet Bulvari No: 88/A P.K 71035210 Konak-Izmir
BIC: BKMTTRIS 200
TELEX: 53053 BMIZ TR
Armenia
Yerevan Branch
6 Amiryan Str. P.O. Box: 375010 P/H 24 Yerevan
BIC: BKMTAM 22
TELEX: 243303 MLTAR AM 243110 BMTRAM
3.
PERSIA INTERNATIONAL BANK plc*
United Arab Emirates
Dubai Branch
The Gate Building, 4th Floor, P.O.BOX 119871, Dubai
BIC: PIBPAEAD
4.
BANK SADERAT IRAN*
Lebanon
Regional Office
Mar Elias – Mteco Center, PO BOX 5126, Beirut
BIC: BSIRLBBE
Beirut Main Branch
Verdun street – Alrose building
P.O. BOX 5126 Beirut / P.O. BOX 6717 Hamra
BIC: BSIRLBBE
TELEX: 48602 – 20738, 21205 – SADBNK
EN
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EN
Alghobeiri Branch
No 3528, Alghobeiry BLVD, Jawhara BLDG Abdallah El Hajje str. –Ghobeiri
BLVD, Alghobeiri
BIC: BSIRLBBE
Baalbak Branch
No 3418, Ras Elein str., Baalbak
BIC: BSIRLBBE
Borj al Barajneh Branch
No 4280, Al Holam BLDG, Al Kafaat cross, Al Maamoura str., Sahat Mreyjeh, 1st
Floor
BIC: BSIRLBBE
Saida Branch
No 4338, Saida – Riad Elsoleh BLVD. Ali Ahmad BLG.
BIC: BSIRLBBE
Oman
BLDG 606, Way 4543, 145 Complex, Ruwi High Street, Ruwi, P.O. BOX 1269,
Muscat
BIC: BSIROMR
TELEX: 3146
Qatar
Doha branch
No 2623, Grand Hamad ave., P.O. BOX 2256, Doha
BIC: BSIR QA QA
TELEX: 4225
Turkmenistan
Bank Saderat Iran Ashkhabad branch
Makhtoomgholi ave., No 181, Ashkhabad
TELEX: 1161134-86278
EN
131
EN
United Arab Emirates
Regional office Dubai
Al Maktoum road, PO BOX 4182 Deira, Dubai
BIC: BSIRAEAD / BSIRAEADDLR / BSIRAEADLCD
TELEX: 45456 SADERBANK
Murshid Bazar Branch
Murshid Bazar P.O. Box 4182
Deira, Dubai
BIC: BSIRAEAD
TELEX: 45456 SADERBANK
Bur Dubai Branch
Al Fahidi Road
P.O.Box 4182 Dubai
BIC: BSIRAEAD
TELEX: 45456 SADERBANK
Ajman Branch
No 2900 Liwara street, PO BOX 16, Ajman, Dubai
BIC: BSIRAEAD
TELEX: 45456 SADERBANK
Shaykh Zayed Road Branch
Shaykh Road, Dubai
BIC: BSIRAEAD
TELEX: 45456 SADERBANK
Abu Dhabi Branch
No 2690 Hamdan street, PO BOX 2656, Abu Dhabi
BIC: BSIRAEAD
TELEX: 22263
EN
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EN
Al Ein Branch
No 1741, Al Am Road, PO BOX 1140, Al Ein, Abu Dhabi
BIC: BSIRAEAD
TELEX: 45456 SADERBANK
Sharjah Branch
No 2776 Alaroda road, PO BOX 316, Sharjah
BIC: BSIRAEAD
TELEX: 45456 SADERBANK
Bahrain
Bahrein branch
106 Government Road; P.O. Box 825, Block No 316; Entrance No 3; Manama
Center; Manama
TELEX: 8363 SADER BANK
OBU
P.O. Box 825 – Manama
TELEX: 8688 SADER BANK
Uzbekistan
Bank Saderat Iran Tashkent
10 Tchekhov street, Mirabad district, 100060 Tashkent
BIC: BSIRUZ21
TELEX: 116134 BSITA UZ
5.
TEJARAT BANK
Tajikistan
No 70, Rudaki Ave., Dushanbe
P.O. Box: 734001
BIC: BTEJTJ22XXX
TELEX: 201135 BTDIR TJ
China
EN
133
EN
Representative Office China
Office C208 Beijing Lufthansa Center No 50 Liangmaqiao Road Chaoyang District
Beijing 100016
6.
ARIAN BANK* (also known as Aryan Bank)
Afghanistan
Head Office
House No 2, Street No 13, Wazir Akbar Khan, Kabul
BIC: AFABAFKA
Harat branch
No 14301(2), Business Room Building, Banke Khoon road, Harat
BIC: AFABAFKA
7.
FUTURE BANK *
Bahrain
Future Bank
P.O. Box 785, Government Avenue 304, Manama
Shop 57, Block No 624 Shaikh Jaber Al Ahmed Al Sabah Avenue-Road No 4203,
Sitra
BIC: FUBBBHBM / FUBBBHBMOBU / FUBBBHBMXXX / FUBBBHBMSIT
8.
BANCO INTERNACIONAL DE DESARROLLO, SA
Venezuela
Banco internacional de Desarrollo, Banco Universal
Avenida Francisco de Miranda, Torre Dosza, Piso 8, El Rosal, Chacao, Caracas
BIC: IDUNVECAXXX
EN
134
EN